Peter A. Halm
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 Alfred Halm, who also goes by Peter A Halm, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 1990 - April 22, 2013
HEARTLAND INVESTMENT ASSOCIATES, INC.
February 13, 1990 - October 4, 1990
F.J. GARBER & CO.
January 2, 1986 - November 29, 1989
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 14, 1983 - January 14, 1986
SECURITIES CORPORATION OF IOWA
October 20, 1980 - April 5, 1983
EQUITABLE ADVISORS, LLC
April 13, 1972 - April 5, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 1
Date: 4/5/1972
Registered Representative ExaminationCurrent Firm
HEARTLAND INVESTMENT ASSOCIATES, INC.
CRD#: 26974 / SEC#: , 8-42777
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
