Peter D. Forbes
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 Dwight Forbes was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 3 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, 2016 - April 11, 2017
FORBES FIDUCIARY & FINANCIAL, LLC
April 9, 1996 - November 26, 2007
LYNX INVESTMENT ADVISORY, LLC
May 16, 1994 - April 3, 1996
AVANTAX INVESTMENT SERVICES, INC.
April 22, 1992 - May 24, 1994
MASON SECURITIES, INC.
September 25, 1989 - April 16, 1990
MASON SECURITIES, INC.
May 13, 1985 - July 27, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1984 - May 22, 1985
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
FORBES FIDUCIARY & FINANCIAL, LLC
CRD#: 282544 / SEC#:
Contact information
Red Flags
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