Peter M. Emrich
Professional summary
Peter Malcolm Emrich was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Peter had worked at 9 firms, which includes REGENT SECURITIES CORPORATION, PETRON SECURITIES LTD., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., SHEARSON HAYDEN STONE INC., CITIGROUP GLOBAL MARKETS INC., LOEB RHOADES & CO, SHEARSON HAMMILL & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 1985 - October 15, 1990
REGENT SECURITIES CORPORATION
May 12, 1981 - May 10, 1985
PETRON SECURITIES, LTD.
February 8, 1978 - February 2, 1979
J.P. MORGAN SECURITIES LLC
November 22, 1977 - January 29, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
August 31, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
January 27, 1976 - October 9, 1976
CITIGROUP GLOBAL MARKETS INC.
August 5, 1974 - January 20, 1976
LOEB RHOADES & CO
December 6, 1971 - August 28, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/2/1971
Registered Representative ExaminationCurrent Firm
REGENT SECURITIES CORPORATION
CRD#: 15942 / SEC#: , 8-32933
Contact information
Documents
Red Flags
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