Sterling L. 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.
Sterling Lee Peters was a registered financial professional .
Sterling is a previously registered financial professional and started their career in finance in 1984. Sterling had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2014 - October 30, 2015
FINANCIAL WEST GROUP
November 24, 2014 - October 30, 2015
FINANCIAL WEST GROUP
January 20, 2006 - November 21, 2014
QUESTAR ASSET MANAGEMENT, INC.
May 19, 1998 - November 21, 2014
QUESTAR CAPITAL CORPORATION
April 3, 1997 - June 1, 1998
SII INVESTMENTS, INC.
May 18, 1988 - April 10, 1997
MARINER FINANCIAL SERVICES, INC.
November 19, 1986 - May 19, 1988
JHM, INC.
December 19, 1984 - November 20, 1986
M.L. STERN & 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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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