Peter R. Balderston
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 Ramsay Balderston, who also goes by Peter R Balderston, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 4 firms and has passed the Series 65, 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
March 18, 2015 - December 31, 2018
FALCON CAPITAL MANAGEMENT INC
April 30, 1991 - May 28, 1991
INTESA SANPAOLO IMI SECURITIES CORP.
September 14, 1989 - April 30, 1991
MABON, NUGENT & CO.
October 20, 1987 - September 21, 1989
PRUDENTIAL EQUITY GROUP, LLC
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
FALCON CAPITAL MANAGEMENT INC
CRD#: 108124 / SEC#: 801-113383
Contact information
Regulatory assets under management
| Total Number of Accounts | 89 |
| AUM (Assets Under Management) | $ 97,171,260 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 5/4/2018 |
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.
