Mark Peters
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Peters was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1981. Mark had worked at 8 firms and has passed the Series 63, Series 7, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2007 - December 31, 2010
SCHON-EX LLC
April 10, 2003 - May 1, 2003
SCHON-EX LLC
September 10, 1996 - June 7, 2002
SCHON-EX LLC
June 23, 1994 - December 17, 2002
LIGHTSPEED TRADING, LLC
August 4, 1989 - January 5, 2010
SCHONFELD SECURITIES, LLC
June 2, 1988 - November 16, 1989
AMA BROKER DEALER INC.
June 18, 1986 - May 21, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
October 23, 1985 - June 27, 1986
KIDDER, PEABODY & CO. INCORPORATED
December 15, 1981 - November 5, 1985
E. F. HUTTON & COMPANY INC
November 3, 1981 - October 7, 1983
HERBERT YOUNG SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHON-EX LLC
CRD#: 32211 / SEC#: , 8-45672
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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