Peter M. Stephens
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 Michael Stephens was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 17 firms and has passed the Series 65, Series 63, Series 7, Series 22 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
January 18, 2012 - March 7, 2014
QUASAR DISTRIBUTORS, LLC
December 15, 2009 - April 1, 2011
ASHFIELD CAPITAL PARTNERS
November 17, 2009 - October 20, 2010
OLD MUTUAL INVESTMENT PARTNERS
January 5, 2007 - October 3, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 2, 2004 - June 9, 2005
PGIM INVESTMENTS LLC
June 23, 2004 - June 9, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 1, 2002 - June 9, 2004
UST SECURITIES CORP.
June 14, 2001 - December 1, 2002
UST FINANCIAL SERVICES CORP.
January 9, 1998 - July 27, 1999
UBS ASSET MANAGEMENT (US) INC.
November 9, 1992 - August 15, 1997
CALAMOS FINANCIAL SERVICES LLC
April 24, 1992 - November 10, 1992
CHRISTOPHER WEIL & COMPANY, INC.
October 16, 1990 - April 10, 1991
PSI SECURITIES CORPORATION
August 21, 1990 - March 31, 1992
CYPRESS CAPITAL CORPORATION
July 7, 1988 - May 29, 1990
NTS SECURITIES, INC.
December 24, 1987 - July 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 10, 1987 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
January 10, 1986 - October 14, 1987
INTERNATIONAL HERITAGE SECURITIES, 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
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
