Keith M. Peters
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.
Keith Malvin Peters, who also goes by Keith Marvin Peters, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1992. Keith had worked at 5 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
March 7, 1998 - January 13, 2000
GLENN MICHAEL FINANCIAL, INC.
April 18, 1997 - December 11, 1997
H.J. MEYERS & CO., INC.
August 14, 1995 - March 11, 1997
STERLING FOSTER & COMPANY, INC.
May 9, 1995 - July 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
June 27, 1994 - May 11, 1995
STERLING FOSTER & COMPANY, INC.
August 27, 1992 - July 5, 1994
J. GREGORY & COMPANY, 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
GLENN MICHAEL FINANCIAL, INC.
CRD#: 37912 / SEC#: , 8-47988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMF HOLDING CORP. | SHAREHOLDER | |
| AULLETTA, GARY GLENN | GENERAL PRINCIPAL | 8790 |
| BENOWITZ, ROBERT LAWRENCE | HEAD TRADER | 2181059 |
| KAVANAGH, JOSEPH ROBERT | GENERAL PRINCIPAL | 1348454 |
| LANAIA, FRANCINE ANN | VICE PRESIDENT, COMPLIANCE DIRECTOR | 1415689 |
| LANAIA, GLENN MICHAEL | PRESIDENT, FINOP | 1122707 |
| MERKENT, JOHN EDWARD | SROP | 1878878 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 7 |
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.
