Paul Peters
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.
Paul Peters was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 16 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 53 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
April 30, 2018 - December 8, 2020
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
April 27, 2018 - January 6, 2021
LPL FINANCIAL LLC
April 26, 2018 - January 6, 2021
LPL FINANCIAL LLC
June 4, 2015 - April 27, 2018
CAPITAL ONE ADVISORS, LLC
May 26, 2015 - April 27, 2018
CAPITAL ONE INVESTING, LLC
August 14, 2013 - March 10, 2015
HSBC SECURITIES (USA) INC.
August 13, 2013 - March 10, 2015
HSBC SECURITIES (USA) INC.
February 15, 2012 - July 16, 2013
PRUCO SECURITIES, LLC.
November 13, 2006 - June 22, 2011
CHASE INVESTMENT SERVICES CORP.
December 9, 2005 - June 22, 2011
CHASE INVESTMENT SERVICES CORP.
December 8, 2004 - December 13, 2005
GUNNALLEN FINANCIAL, INC
October 19, 2000 - March 7, 2003
NATIONAL SECURITIES CORPORATION
August 16, 2000 - October 26, 2000
SHARPE CAPITAL, INC.
October 27, 1999 - September 7, 2000
TARPON SCURRY INVESTMENTS, INC.
July 30, 1998 - October 4, 1999
JOSEPH STEVENS & CO., INC.
May 14, 1998 - August 3, 1998
HD BROUS & CO., INC.
September 18, 1997 - March 15, 1998
ASH FINANCIAL CORP.
July 15, 1996 - September 24, 1997
MAY, DAVIS GROUP INC.
March 6, 1996 - June 10, 1996
TRAUTMAN WASSERMAN & COMPANY, INC.
October 3, 1994 - February 28, 1996
JOSEPH STEVENS & CO., INC.
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| 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.
