Peter R. Pence
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 Ruppen Pence was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1998 - September 6, 2022
WATERMARK SECURITIES, INC.
April 1, 1996 - June 27, 1997
J.P. MORGAN SECURITIES INC.
July 11, 1994 - April 1, 1996
CHASE SECURITIES, INC.
May 21, 1993 - July 15, 1994
FEELEY & WILLCOX SECURITIES CORP.
March 26, 1992 - February 12, 1993
T. ROWE PRICE INVESTMENT SERVICES, INC.
December 17, 1990 - July 19, 1991
RYAN BECK & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
WATERMARK SECURITIES, INC.
CRD#: 28683 / SEC#: , 8-43902
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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