Peter C. Tosto
Professional summary
Peter Claver Tosto was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Peter had worked at 7 firms, which includes AMERICAN FRONTEER FINANCIAL CORPORATION, J. T. MORAN & CO. INC., LEHMAN BROTHERS INC., EQUITABLE SECURITIES OF NEW YORKINC., FIRST UNITED SECURITIES GROUP OF CALIFORNIA, INVESTORS CENTER INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 1990 - May 21, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
June 27, 1989 - November 22, 1989
J. T. MORAN & CO., INC.
December 19, 1988 - July 13, 1989
LEHMAN BROTHERS INC.
February 8, 1988 - January 1, 1989
EQUITABLE SECURITIES OF NEW YORK,INC.
December 9, 1987 - February 24, 1988
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
April 28, 1987 - December 14, 1987
INVESTORS CENTER, INC.
July 15, 1986 - May 16, 1987
PRUDENTIAL EQUITY GROUP, LLC
July 26, 1984 - July 21, 1986
EQUITABLE SECURITIES OF NEW YORK,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
AMERICAN FRONTEER FINANCIAL CORPORATION
CRD#: 1398 / SEC#: , 8-18200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E-VISION USA.COM | SHAREHOLDER | |
| CHAN, TONGWAN | DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE | 3011739 |
| COOK, GARY LYNN | CHIEF FINANCIAL OFFICER, DIRECTOR | 2735820 |
| FISHBEIN, STEVEN MICHAEL | DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT | 843134 |
| HERRING, SARA FITZSIMMONS | DIRECTOR,VICE PRESIDENT OF COMPLIANCE | 1003754 |
| PADILLA, JOSE ANTONIO | DIRECTOR AND CHIEF OPERATING OFFICER | 1925223 |
| SALISBURY, JOANN ROBYN | SENIOR REGISTERED OPTIONS PRINCIPAL | 1037278 |
| TRAPP, ROBERT HERMAN | DIRECTOR AND PRESIDENT | 2246323 |
| ZUCKER, BRIAN FRED | DIRECTOR |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 19 |
Red Flags
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