Peter L. Falk
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 Laurence Falk was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1991. Peter had worked at 7 firms and has passed the Series 63, 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
December 19, 1997 - September 29, 2000
CARNEGIE INVESTOR SERVICES INC.
November 1, 1995 - May 27, 1998
MEYERS POLLOCK ROBBINS, INC.
March 14, 1994 - November 10, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 16, 1993 - March 9, 1994
WESTFIELD FINANCIAL CORPORATION
April 21, 1993 - August 11, 1993
DUKE & CO., INC.
January 13, 1993 - April 21, 1993
GRUNTAL & CO., L.L.C.
September 27, 1991 - December 24, 1992
STRATTON OAKMONT 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
CARNEGIE INVESTOR SERVICES INC.
CRD#: 8295 / SEC#: , 8-24965
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
