Peter F. Hochreiter
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 Franklin Hochreiter, who also goes by Peter Franklyn Hochreiter, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1962. Peter had worked at 7 firms and has passed the Series 63, Series 1 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
May 29, 2009 - December 31, 2012
SAXONY SECURITIES, INC.
February 19, 2002 - June 2, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
July 24, 1987 - February 19, 2002
SECO WEST LIMITED
September 17, 1984 - July 29, 1987
A. G. EDWARDS & SONS, INC.
October 12, 1973 - September 26, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
September 6, 1973 - November 9, 1973
KIDDER, PEABODY & CO., INCORPORATED
July 9, 1962 - November 1, 1973
DOMIK CORP.
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: 7/9/1962
Registered Representative ExaminationCurrent Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
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