Peggy B. Hunt
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.
Peggy Broadfoot Hunt was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1985. Peggy had worked at 5 firms and has passed the Series 63, 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
June 7, 1990 - September 4, 1992
CAPITAL BROKERAGE CORPORATION
July 31, 1989 - June 8, 1990
PARAGON CAPITAL MARKETS, INC.
November 30, 1988 - August 31, 1989
HUBERMAN SECURITIES CORP.
September 7, 1988 - December 3, 1988
B C FINANCIAL CORPORATION
May 23, 1985 - August 31, 1988
BLINDER, ROBINSON & CO., 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
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
