Peter M. Alber
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 Matthew Alber was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 13 firms and has passed the Series 63, Series 55 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
January 3, 2012 - June 14, 2012
JOHN CARRIS INVESTMENTS LLC
March 3, 2009 - July 12, 2011
HFP CAPITAL MARKETS LLC
June 19, 2007 - February 12, 2009
MCBARRON CAPITAL LLC
May 18, 2007 - June 12, 2007
ARJENT LTD.
January 30, 2006 - May 16, 2007
CAPITAL GROWTH FINANCIAL, LLC
May 17, 2005 - December 12, 2005
GILFORD SECURITIES INCORPORATED
January 9, 2004 - May 23, 2005
GREENWICH GLOBAL, LLC
November 8, 2001 - January 21, 2003
WORLDCO, L.L.C.
March 10, 2000 - July 24, 2001
ELECTRONIC TRADING GROUP, LLC
November 12, 1998 - December 21, 1999
HD BROUS & CO., INC.
March 16, 1990 - November 2, 1998
PRIME CHARTER LTD.
January 29, 1988 - March 28, 1990
CIBC WORLD MARKETS CORP.
February 19, 1986 - February 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
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
Series 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
