James B. Peters
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.
James Basil Peters was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 8 firms and has passed the Series 63 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
April 28, 1998 - December 24, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
July 23, 1997 - October 20, 1997
SOUTHERN FINANCIAL GROUP, INC.
December 9, 1994 - September 5, 1995
CAPITAL BROKERAGE CORPORATION
November 19, 1993 - July 6, 1994
WELLS FARGO SECURITIES INC.
November 30, 1992 - November 19, 1993
MARKETING ONE SECURITIES, INC.
August 7, 1992 - July 29, 1993
BA INVESTMENT SERVICES, INC.
April 18, 1991 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
October 12, 1988 - November 22, 1988
FOCUS SECURITIES, INC.
October 12, 1988 - March 26, 1991
GRIFFIN FINANCIAL SERVICES
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
METLIFE INVESTORS DISTRIBUTION COMPANY
CRD#: 6695 / SEC#: , 8-17973
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE INVESTORS GROUP, INC. | SHAREHOLDER | |
| BUFFINGTON, DEBORA LYNN MRS. | VICE PRESIDENT, CCO | 2219235 |
| DEUTH, CHARLES MILTON | VICE PRESIDENT - NATIONAL ACCOUNTS | 1922397 |
| FORGET, ELIZABETH MARY | EXECUTIVE VICE PRESIDENT- MONEY MANAGEMENT | 2767945 |
| HIPWORTH, PAUL DAVID | EXECUTIVE VICE PRESIDENT, CFO, FINOP | 2798832 |
| LAPIANA, PAUL ANTHONY | EXECUTIVE VICE PRESIDENT | 2237245 |
| PEARSON, RICHARD CARL | PRESIDENT | 1270673 |
| SUTHERLAND, LESLIE STUART | EXECUTIVE VICE PRESIDENT | 1603666 |
| WILSON, EDWARD COOK JR | EXECUTIVE VICE PRESIDENT | 804106 |
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.
