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Troy M. Peters

Some features on this profile are disabled
CRD#: 1612003
TP

Professional summary

Troy Melton Peters was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Troy is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Troy had worked at 5 firms, which includes HAMPTON-PORTER INVESTMENT BANKERS A CALIFORNIA LLC, RICHMARK CAPITAL CORPORATION, GLOBAL CAPITAL SECURITIES CORPORATION, H.J. MEYERS & CO. INC., BLINDER ROBINSON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 13, 1999 - April 11, 2001

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

BD
CRD#: 42949
SAN DIEGO, CA
Past

May 27, 1998 - February 11, 1999

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

January 16, 1995 - December 3, 1997

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

October 5, 1989 - February 1, 1995

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

March 25, 1987 - October 26, 1989

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/1991
General Securities Principal Examination

Current Firm

HI
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC | JANDA, PHILLIPS & GARRINGTON, LLC | JANDA & GARRINGTON, LLC

CRD#: 42949 / SEC#: , 8-50105

BD
Terminated by SEC on 07/20/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/07/1996
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HP HOLDINGS, LLCOWNER
GREEN, JAMES DALE JRC.O.O., CROP, SROP2124467
MCCLURE, DANIEL JOSEPHC.F.O.
WALKER, GREGORY DUBOISPRESIDENT2048725

Disclosures

Regulatory Event4
Arbitration7

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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Company Information

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

CRD#: 42949

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