Charles F. Peterein
Professional summary
Charles F Peterein JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Charles had worked at 6 firms, which includes LUPO SECURITIES LLC, PAX CLEARING CORPORATION, PAX CLEARING COMPANY LIMITED PARTNERSHIP, RAYMOND JAMES & ASSOCIATES INC., SCHRODER & CO. INC., FIRST OPTIONS OF CHICAGO INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2006 - March 12, 2009
LUPO SECURITIES, LLC
September 1, 2000 - April 28, 2005
PAX CLEARING CORPORATION
April 16, 1998 - September 1, 2000
PAX CLEARING COMPANY LIMITED PARTNERSHIP
March 4, 1994 - March 1, 1996
RAYMOND JAMES & ASSOCIATES, INC.
July 12, 1993 - December 2, 1993
SCHRODER & CO. INC.
October 13, 1988 - July 14, 1992
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LUPO SECURITIES, LLC
CRD#: 43761 / SEC#: , 8-50403
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
Red Flags
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