Thomas B. Peters

KEMA PARTNERS LLC

Inverness, CA

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CRD#: 1718865

Professional summary

Thomas Battle Peters, who also goes by Tom Peters, is a registered financial professional currently at KEMA PARTNERS LLC located in Inverness, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Peters

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) - BD

Click below to view Thomas Battle Peters's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 6, 2009 - Present

KEMA PARTNERS LLC

CRD#: 143752

Inverness, CA

Past

December 3, 2008 - March 23, 2009

STANFORD GROUP COMPANY

CRD#: 39285

SAN FRANCISCO, CA

Past

November 22, 2005 - December 8, 2008

MONTGOMERY & CO., LLC

CRD#: 42300

SAN FRANCISCO, CA

Past

March 8, 2004 - March 7, 2005

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

March 8, 2001 - November 7, 2002

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

February 1, 2000 - February 6, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 11, 1998 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

January 28, 1997 - April 20, 1998

BOWLES HOLLOWELL CONNER & CO.

CRD#: 10072

CHARLOTTE, NC

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/6/2009)

New Jersey
(1/3/2014)

New York
(7/13/2009)

Exams

State Security Law Exam

Series 63

Date: 9/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEMA PARTNERS LLC

CRD#: 143752 / SEC#: , 8-67600

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

309 Laverne Ave., Mill Valley, CA 94941

Mailing Address

309 Laverne Ave., Mill Valley, CA 94941

Phone number

(415) 383-4743

Established

California since 11/16/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CANN, HOWARD WHEELER III	MANAGING PARTNER, CFO, FINOP
CANN, PETER TAYLOR	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER	4543062
CANN, MICHAEL GRANT	PARTNER

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas B. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Battle Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

STANFORD GROUP COMPANY

MONTGOMERY & CO., LLC

B. RILEY SECURITIES, INC.

COWEN AND COMPANY

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

BOWLES HOLLOWELL CONNER & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/2004

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/24/1997

Series 24

Date: 5/1/2001

FINRA

Current Firm

KEMA PARTNERS LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KEMA PARTNERS LLC

TRUST BUT VERIFY

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