PF
Peter S. Furman
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CRD#: 215959
PF
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 Scott Furman was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 7 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 17, 2012 - September 24, 2012
L.M. KOHN & COMPANY
BD
CRD#: 27913
DAWSONVILLE, GA
Past
January 24, 2003 - January 17, 2012
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
ATLANTA, GA
Past
September 18, 1996 - January 23, 2003
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
BD
CRD#: 30626
ATLANTA, GA
Past
September 14, 1990 - September 13, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 20, 1989 - September 19, 1990
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
January 31, 1986 - June 27, 1987
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
February 15, 1977 - February 8, 1985
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
March 2, 1972 - February 26, 1977
BRUNS, NORDEMAN, REA & CO.
BD
CRD#: 6589
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
PC
Date: 9/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 2/28/1972
Registered Representative ExaminationCurrent Firm
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Mailing Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Phone number
(513) 792-0301
Established
Ohio since 11/27/1990
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
85
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
