Steven E. Peter
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.
Steven Eric Peter was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 5 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2003 - April 2, 2007
FAT SQUIRREL TRADING GROUP LLC
May 9, 1990 - March 13, 1991
UBS FINANCIAL SERVICES INC.
March 22, 1989 - May 30, 1989
IDS LIFE INSURANCE COMPANY
March 22, 1989 - May 30, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
August 21, 1984 - April 20, 1987
MORGAN STANLEY & CO. LLC
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
FAT SQUIRREL TRADING GROUP LLC
CRD#: 123129 / SEC#: , 8-65571
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLBROOK ASSET MANAGEMENT, LP | MEMBER | |
| PETER, STEVEN ERIC | MANAGING MEMBER/COMPLIANCE OFFICER | 1295491 |
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.
