Robert W. Peterson
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.
Robert Wayne Peterson, who also goes by Bob Peterson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9 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
October 12, 2020 - August 11, 2022
MDB CAPITAL
March 25, 2015 - November 28, 2018
MOMENTUM INDEPENDENT NETWORK INC.
March 25, 2015 - November 28, 2018
HILLTOP SECURITIES INC.
June 18, 2014 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
July 25, 1994 - July 30, 2012
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/24/2008
Limited Representative-Equity Trader ExamCurrent Firm
MDB CAPITAL
CRD#: 42677 / SEC#: , 8-49951
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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