Peter T. Pak
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 Tongpil Pak, who also goes by Peter Tongpil Pak, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2009 - November 23, 2011
PORTFOLIO ADVISORS ALLIANCE, LLC
May 15, 2008 - January 6, 2009
SIERRA EQUITY GROUP LLC
July 19, 2002 - May 22, 2008
J.P. TURNER & COMPANY, L.L.C.
June 12, 1997 - July 26, 2002
SANDS BROTHERS & CO., LTD.
March 6, 1996 - April 21, 1997
PRIME CHARTER LTD.
December 1, 1995 - January 8, 1996
CHATFIELD DEAN & CO., INC.
March 9, 1994 - November 15, 1995
SANDS BROTHERS & CO., LTD.
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
PORTFOLIO ADVISORS ALLIANCE, LLC
CRD#: 101680 / SEC#: , 8-52125
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| 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.
