Peter F. Karpen
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.
Peter Fleischer Karpen was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 3 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 5, Series 30, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2013 - April 1, 2015
NETHERBY ADVISORS LLC
October 30, 1997 - December 3, 2009
DIVERSIFIED INVESTMENT MANAGEMENT, LLC
December 24, 1981 - June 12, 1995
CREDIT SUISSE SECURITIES (USA) LLC
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 15
Date: 10/19/1990
Foreign Currency Options ExaminationSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 8
Date: 7/15/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NETHERBY ADVISORS LLC
CRD#: 148827 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 19,440,293 |
Red Flags
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