Peter F. Peck
Professional summary
Peter Faris Peck JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Peter had worked at 5 firms, which includes STATE FARM VP MANAGEMENT CORP., FISERV INVESTOR SERVICES INC., TRADESTAR INVESTMENTSINC., EDWARD JONES, STOCKTON CAPITAL MANAGEMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2001 - July 24, 2002
STATE FARM VP MANAGEMENT CORP.
January 2, 1997 - September 3, 1999
FISERV INVESTOR SERVICES, INC.
March 6, 1995 - January 2, 1997
TRADESTAR INVESTMENTS,INC.
March 24, 1993 - November 29, 1994
EDWARD JONES
February 17, 1993 - April 23, 1993
STOCKTON CAPITAL MANAGEMENT SECURITIES, INC.
November 27, 1981 - February 16, 1993
EDWARD JONES
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
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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