Anthony G. Peterson
Professional summary
Anthony George Peterson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Anthony had worked at 6 firms, which includes OGILVIE SECURITY ADVISORS CORPORATION, WATERSTONE FINANCIAL GROUP INC., CROWN CAPITAL SECURITIES L.P., ALBANY SECURITIES LLC., NEW ENGLAND SECURITIES, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2004 - December 1, 2004
OGILVIE SECURITY ADVISORS CORPORATION
March 21, 2003 - January 30, 2004
WATERSTONE FINANCIAL GROUP, INC.
October 8, 2002 - March 21, 2003
CROWN CAPITAL SECURITIES, L.P.
October 26, 2001 - September 16, 2002
ALBANY SECURITIES, LLC.
September 6, 1989 - October 24, 2001
NEW ENGLAND SECURITIES
May 16, 1989 - April 2, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
OGILVIE SECURITY ADVISORS CORPORATION
CRD#: 10105 / SEC#: 801-44573, 8-26505
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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