Kristi K. Peterson
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.
Kristi Kay Peterson was a registered financial professional .
Kristi is a previously registered financial professional and started their career in finance in 1983. Kristi had worked at 5 firms and has passed the Series 63 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
March 15, 1989 - September 6, 1990
SUTRO & CO. INCORPORATED
November 26, 1988 - February 17, 1989
UBS FINANCIAL SERVICES INC.
April 18, 1988 - November 10, 1988
J.P. MORGAN SECURITIES LLC
March 15, 1984 - June 6, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
January 19, 1983 - March 27, 1986
J. DAVID 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
Current Firm
SUTRO & CO. INCORPORATED
CRD#: 801 / SEC#: , 8-15491
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SUTRO GROUP | HOLDING CO. / SUTRO & CO. | |
| DELANEY, MARY JANE | EXECUTIVE VICE PRESIDENT / GENERAL COUNSEL / SECRETARY | 1194845 |
| HUBBARD, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT/DIRECTOR | 846511 |
| LUIKART, JOHN FORD | CEO | 314209 |
| MATSUI, ROGER NAOKI | CHIEF FINANCIAL OFFICER | 1672347 |
| MCCARTHY, DENIS JOSEPH | DIRECTOR OF COMPLIANCE REGULATORY AFFAIRS | 1415768 |
| PHILLIPS, JERRY DON | EXECUTIVE VICE PRESIDENT | 1308109 |
| TUCKER ANTHONY SUTRO INCORPORATED | PARENT COMPANY | |
| WILLFONG, DONALD JAMES | DIRECTOR | 467416 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 1 |
| Bond | 1 |
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.
