Peter L. Herzig
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 Laurance Herzig, who also goes by Peter L Herzig, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 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
May 23, 2005 - January 23, 2006
LITTLE RIVER CAPITAL, LLC
April 27, 2005 - April 10, 2015
BARNETT & PARTNERS ADVISORS, LLC
February 26, 1998 - April 19, 2000
J.P. MORGAN SECURITIES LLC
September 19, 1989 - March 23, 1998
GOLDMAN SACHS & CO. 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
LITTLE RIVER CAPITAL, LLC
CRD#: 118917 / SEC#: , 8-53698
Contact information
FINRA licenses (8 States and Territories)
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.
