Peter C. Herbert
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 Charles Herbert was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 2 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2012 - June 23, 2016
TOPEKA CAPITAL MARKETS INC.
February 4, 1988 - July 18, 2011
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 5/2/2005
Limited Representative-Equity Trader ExamCurrent Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
