Peter W. Carlson
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.
Peter Wayne Carlson, who also goes by Peter W Carlson, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2014 - July 12, 2021
CAPITAL SYNERGY PARTNERS
January 29, 2014 - July 12, 2021
CAPITAL SYNERGY PARTNERS
December 4, 2013 - December 19, 2013
MML INVESTORS SERVICES, LLC
July 28, 2004 - December 19, 2013
MML INVESTORS SERVICES, LLC
October 24, 1996 - August 13, 2004
UBS FINANCIAL SERVICES INC.
April 10, 1990 - October 23, 1996
DAIN RAUSCHER INCORPORATED
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
CAPITAL SYNERGY PARTNERS
CRD#: 148733 / SEC#: 801-117828, 8-68060
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 89,105,726 |
Red Flags
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