Jeffrey K. Peterson
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.
Jeffrey Kenneth Peterson was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2002 - April 9, 2021
FIRST NATIONAL CAPITAL MARKETS
September 16, 1998 - March 21, 2000
PIPER SANDLER & CO.
September 26, 1997 - September 18, 1998
U.S. BANCORP INVESTMENTS, INC.
August 28, 1989 - October 22, 1997
FIDELITY DISTRIBUTORS CORPORATION
February 24, 1987 - August 26, 1989
FIDELITY BROKERAGE SERVICES 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FIRST NATIONAL CAPITAL MARKETS
CRD#: 115920 / SEC#: 801-71101, 8-53514
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL INVESTMENT BANKING, INC. | DIRECT OWNER | |
| RICHTER, CHARLES HENRY | CHIEF COMPLIANCE OFFICER | 1839310 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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