Peter R. Wallin
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 Rydberg Wallin was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 7 firms and has passed the Series 63, SIE, 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
February 27, 2017 - December 31, 2018
CLEANBRIDGE SECURITIES, LLC
August 28, 2015 - January 17, 2017
CP CAPITAL SECURITIES
July 17, 2014 - July 2, 2015
TCT SECURITIES & DERIVATIVES, LLC
September 7, 2006 - October 9, 2012
STONEX FINANCIAL INC.
March 5, 1998 - September 1, 2006
ICBC STANDARD SECURITIES INC.
February 13, 1995 - February 25, 1998
SOCIMER SECURITIES CORPORATION
March 18, 1993 - February 24, 1994
SAMUEL MONTAGU, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CLEANBRIDGE SECURITIES, LLC
CRD#: 140889 / SEC#: , 8-67348
Contact information
FINRA licenses (11 States and Territories)
Documents
Red Flags
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