Peter C. Briggs
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 Campbell Briggs was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1991 - January 16, 2001
LISS FINANCIAL SERVICES
September 27, 1990 - February 22, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 6, 1989 - September 19, 1990
ROBERT W. BAIRD & CO. INCORPORATED
January 8, 1988 - March 20, 1989
SECURIAN FINANCIAL SERVICES, INC.
September 23, 1987 - November 30, 1987
ECONOMIC RESOURCES, INC.
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
LISS FINANCIAL SERVICES
CRD#: 21950 / SEC#: , 8-39344
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
