Peter P. Baruch
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 Paul Baruch was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 4 firms and has passed the Series 63, Series 22 and V06 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 1982 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 19, 1982 - March 16, 2001
SIGNATOR INVESTORS, INC.
October 20, 1980 - August 30, 1988
EQUITABLE ADVISORS, LLC
December 21, 1970 - May 29, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
V06
Date: 12/3/1970
Variable Annuities Module ExaminationCurrent Firm
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
CRD#: 5181 / SEC#: , 8-15661
Contact information
Documents
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.
