Robert S. Peck
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.
Robert Samuel Peck was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2001 - November 7, 2001
RUMSON CAPITAL, LLC
December 18, 2000 - April 23, 2002
HAPOALIM SECURITIES USA, INC.
July 3, 1997 - December 18, 2000
GKN SECURITIES CORP.
October 1, 1990 - July 7, 1997
LEGEND MERCHANT GROUP, INC.
March 6, 1989 - November 30, 1993
VANDERBILT SECURITIES, INC.
January 18, 1989 - March 10, 1989
INVESTORS CENTER, INC.
September 24, 1987 - January 9, 1989
BLINDER, ROBINSON & CO., 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
RUMSON CAPITAL, LLC
CRD#: 33848 / SEC#: , 8-46133
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
