Gary A. Peck
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.
Gary Ames Peck was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1983. Gary 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
November 28, 1990 - May 12, 2000
FINANCIAL AMERICA SECURITIES, INC.
May 31, 1989 - August 2, 1990
FIRST AFFILIATED SECURITIES
August 1, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
September 19, 1985 - July 29, 1988
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1983 - August 16, 1985
BUTCHER & SINGER 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
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 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.
