Peter B. Steege
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 Benedict Steege was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1982. Peter had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2011 - February 1, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
October 10, 2002 - March 21, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
May 15, 2002 - November 11, 2002
SANDS BROTHERS & CO., LTD.
June 15, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
February 9, 1998 - May 25, 2001
KFS BD, INC.
November 3, 1994 - January 12, 1998
GLOBAL CAPITAL SECURITIES CORPORATION
October 23, 1990 - April 25, 1994
NTB FINANCIAL CORPORATION
August 23, 1990 - September 21, 1990
D.E. FREY & COMPANY, INC.
September 18, 1989 - July 12, 1990
A. G. EDWARDS & SONS, INC.
May 22, 1989 - August 10, 1989
CITIGROUP GLOBAL MARKETS INC.
April 10, 1985 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 24, 1982 - April 3, 1985
BOETTCHER & COMPANY, 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
