Charles M. Peltier
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.
Charles Michael Peltier, who also goes by Chales Michael Peltier, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1990. Charles had worked at 3 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1995 - July 29, 1997
TEXAKOMA FINANCIAL, INC.
September 5, 1991 - October 26, 1992
TEXAKOMA FINANCIAL, INC.
July 24, 1991 - August 29, 1991
PRO EQUITIES, INC.
June 26, 1991 - July 5, 1991
SOUTHARD SECURITIES CORPORATION
January 19, 1990 - June 10, 1991
TEXAKOMA FINANCIAL, INC.
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
TEXAKOMA FINANCIAL, INC.
CRD#: 16910 / SEC#: , 8-34706
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KENNEDY, DEAN RICHARD | OWNER/PRINCIPAL | 1268230 |
| BOYD, ROBYN LAUREL | PRINCIPAL FINANCIAL OFFICER | 7570200 |
| KEAVENY, JAMIE MICHAEL | EXECUTIVE VICE PRESIDENT/DIRECTOR/TREASURER | 7137725 |
| LATORRE, STEPHEN JOHN | PRESIDENT/DIRECTOR/SECRETARY | 3009003 |
| MOORE, ASHLEE ELIZABETH | PRINCIPAL OPERATIONS OFFICER | 7907461 |
| MOORE, ASHLEE ELIZABETH | CCO | 7907461 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
