Kevin M. 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.
Kevin Merle Peterson was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 4 firms and has passed the Series 63, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 1997 - May 16, 2000
KFS BD, INC.
April 18, 1996 - February 3, 1997
GEORGE K. BAUM & COMPANY
January 5, 1990 - October 9, 1991
PAULSON INVESTMENT COMPANY LLC
October 11, 1984 - April 22, 1986
A. G. EDWARDS & SONS, 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
KFS BD, INC.
CRD#: 490 / SEC#: , 8-2441
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
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.
