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Peter Alex Gouzos

CRD# 1959666·Registered 1989 - 2014
Barred: Peter Alex Gouzos was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Peter Alex Gouzos was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1989 - 2014. Peter had worked at 15 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

HUNTER SCOTT FINANCIAL LLC.·CRD# 45559
BD
Delray Beach, FL
January 29, 2003 - July 24, 2014
VIEWTRADE FINANCIAL·CRD# 47116
BD
Boca Raton, FL
December 20, 2002 - January 31, 2003
EMERSON BENNETT & ASSOCIATES·CRD# 36171
BD
Ft. Lauderdale, FL
September 4, 1999 - January 29, 2001
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Atlanta, GA
August 13, 1997 - May 25, 1999
ARGENT SECURITIES, INC.·CRD# 15297
BD
Atlanta, GA
September 17, 1996 - August 12, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC·CRD# 11025
BD
St. Louis, MO
May 11, 1994 - October 14, 1996
THE WELLINGTON GROUP, INC.·CRD# 17814
BD
New York, NY
January 6, 1993 - May 12, 1994
REICH & CO., INC.·CRD# 19611
BD
August 26, 1992 - March 1, 1993
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
October 17, 1991 - August 28, 1992
MANCHESTER RHONE SECURITIES CORP.·CRD# 15886
BD
August 7, 1991 - October 22, 1991
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
May 20, 1991 - July 19, 1991
BERKELEY SECURITIES CORPORATION·CRD# 8397
BD
New York, NY
April 26, 1991 - May 3, 1991
GLOBAL CAPITAL SECURITIES, INC.·CRD# 13358
BD
December 3, 1990 - February 6, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA·CRD# 680
BD
Newark, NJ
June 22, 1989 - August 4, 1990
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
June 22, 1989 - August 4, 1990

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Current Firm

HS
HUNTER SCOTT FINANCIAL LLC.

HUNTER SCOTT FINANCIAL , LLC | PLATINUM CAPITAL, L.C. | HUNTER SCOTT FINANCIAL LLC.

CRD#: 45559 / SEC#: 8-51097
BD
Terminated by SEC on 09/22/2014

Contact Information

Established

Florida since 03/16/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HUNTER SCOTT FINANCIAL, INC.GENERAL PARTNER—
FISCHER, KAREN ZILLIAFINANCIAL & OPERATIONS PRINCIPAL1708090
GOUZOS, PETER ALEXEXECUTIVE REPRESENTATIVE/PRESIDENT/CEO1959666
HUGHES, CHARLES WOODSDOC, DOO, CCO, BM-DELRAY2759373

Disclosures

Regulatory Event

8

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1990About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1990About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1989About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Sep 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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