Peter A. Provence
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 Alan Provence was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 7 firms and has passed the Series 63, 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
June 28, 1991 - September 5, 1995
AMERINATIONAL FINANCIAL SERVICES, INC.
July 10, 1990 - December 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1989 - June 12, 1990
FIRST GLOBAL SECURITIES, INC.
November 4, 1988 - January 23, 1989
ROTH CAPITAL PARTNERS, LLC
March 23, 1988 - October 19, 1988
WESTMONT SECURITIES CORPORATION
October 31, 1987 - January 12, 1988
AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.
August 20, 1987 - December 31, 1987
ADVANTAGE CAPITAL CORPORATION
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
AMERINATIONAL FINANCIAL SERVICES, INC.
CRD#: 27986 / SEC#: , 8-43361
Contact information
Documents
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.
