Peter C. Beh
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 Carlisle Beh was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1982. Peter had worked at 5 firms and has passed the Series 99TO, SIE, Series 62, Series 52 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
October 5, 1999 - January 7, 2022
FIRST BROKERS SECURITIES LLC
July 1, 1998 - October 7, 1999
COWEN AND COMPANY
August 24, 1990 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 1, 1989 - September 11, 1990
O'CONNOR, PAUL & PHILLIPS, INC.
October 18, 1982 - February 18, 1988
J.J. KENNY DRAKE, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 12/27/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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