Maria I. Peugnet
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.
Maria Ivette Peugnet, who also goes by Marien IVette, Ivette Marien Maria, Ivette Maria Peugnet, Ivette Marien Peugnet, Ivette Peugnet, Marien Peugnet, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1987. Maria had worked at 6 firms and has passed the SIE, Series 7, Series 6 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
August 6, 2007 - May 2, 2024
CROWN CAPITAL SECURITIES, L.P.
October 1, 2003 - May 2, 2024
CROWN CAPITAL SECURITIES, L.P.
December 31, 1997 - October 1, 2003
LPL FINANCIAL LLC
November 4, 1997 - October 1, 2003
LPL FINANCIAL LLC
March 1, 1991 - July 10, 1997
ASB FINANCIAL SERVICES
November 19, 1989 - March 21, 1990
OSAIC WEALTH, INC.
March 28, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 13, 1987 - February 8, 1989
AGFC INVESTMENT SECURITIES
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
