Peter Malcolm Emrich
Professional Summary
Peter Malcolm Emrich was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1971 - 1990. Peter had worked at 9 firms and has passed the Series 63, Series 1, Series 24 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
REGENT SECURITIES CORPORATION
Contact Information
Established
California since 06/28/1984Firm Type
CorporationDocuments
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Dec 1971Series 39 — Direct Participation Programs Principal Examination
Passed Jan 1984About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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