John Peters
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.
John Peters was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53 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
January 9, 2008 - March 12, 2015
SCOTTRADE, INC.
June 22, 2004 - February 2, 2006
WESTROCK ADVISORS, INC.
July 26, 1995 - July 25, 2002
DREYFUS BROKERAGE SERVICES, INC.
October 25, 1994 - May 18, 1995
AMERIPRISE ADVISOR SERVICES, INC.
April 15, 1994 - October 6, 1994
COMMONWEALTH ASSOCIATES
March 26, 1993 - April 29, 1994
JOSEPHTHAL & CO., INC.
September 22, 1992 - April 2, 1993
GKN SECURITIES CORP.
October 10, 1991 - October 1, 1992
JOSEPHTHAL & CO., INC.
April 5, 1991 - October 23, 1991
JJC SECURITIES CO., INC.
May 4, 1990 - April 12, 1991
D. H. BLAIR & CO., INC.
October 27, 1989 - April 23, 1990
CIBC WORLD MARKETS CORP.
May 10, 1988 - November 6, 1989
D. H. BLAIR & CO., INC.
February 23, 1988 - May 25, 1988
LEHMAN BROTHERS 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
Series 55
Date: 1/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
