Peter Eshoo
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 Eshoo was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2010 - September 12, 2016
FORESTERS EQUITY SERVICES, INC.
November 27, 2007 - November 17, 2010
VOYA FINANCIAL ADVISORS, INC.
January 25, 2005 - November 19, 2007
AMERICAN CLASSIC SECURITIES, INC.
November 13, 2003 - September 22, 2004
HIGH MARK SECURITIES, INC.
March 19, 2003 - November 6, 2003
HIGH MARK SECURITIES, INC.
June 27, 2001 - December 31, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 20, 2001 - December 31, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 29, 1997 - February 16, 2001
SICOR SECURITIES INC
June 4, 1996 - April 1, 1997
QUEST CAPITAL STRATEGIES, INC.
May 20, 1985 - July 22, 1996
PFS INVESTMENTS 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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
