Peter T. Zepernick
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 Todd Zepernick, who also goes by Todd Zepernick, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 8 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2014 - March 3, 2015
WHITAKER SECURITIES LLC
March 16, 2011 - February 7, 2014
BGC FINANCIAL, L.P.
May 20, 2008 - March 15, 2011
B. RILEY WEALTH MANAGEMENT
July 25, 2002 - April 28, 2008
RAFFERTY CAPITAL MARKETS, LLC
February 4, 1997 - November 22, 2002
TRADITION SECURITIES AND DERIVATIVES LLC
October 4, 1996 - February 3, 1997
GUGGENHEIM INVESTOR SERVICES, LLC
November 1, 1993 - January 17, 1996
TULLETT & TOKYO SECURITIES, INC.
July 25, 1987 - September 10, 1993
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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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