Peter A. Kearns
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 A Kearns, who also goes by Peter Kearns, 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, SIE, Series 3, Series 55, Series 7 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
December 9, 2011 - January 8, 2015
MISMI, INC.
November 26, 2003 - September 11, 2006
NEONET SECURITIES, INC.
September 18, 1998 - January 3, 2005
LEXIT CAPITAL, LLC
March 14, 1996 - April 14, 1997
PRUDENTIAL EQUITY GROUP, LLC
October 10, 1995 - April 3, 1996
NEWPORT COAST SECURITIES, INC.
September 8, 1994 - June 9, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 1/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
MISMI, INC.
CRD#: 147058 / SEC#: , 8-67871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TL VENTURES V L.P. | SHAREHOLDER COM./PREF. | |
| CERIA, SEBASTIAN | BOARD MEMBER | |
| CERIA, SEBASTIAN | SHAREHOLDER COMMON | |
| RK AXIOMA INVESTMENT GROUP, LLC | SHAREHOLDER COM./PREF | |
| SATURN PARTNERS, L.P. II | SHAREHOLDER COM./PREF. | |
| GUTTMAN, WILLIAM | SHAREHOLDER COMMON | |
| GUTTMAN, WILLIAM | BOARD MEMBER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| GOERZ (III), DAVID JONATHAN | BOARD MEMBER | |
| KEARNS, PETER A | EXECUTIVE CHAIRMAN | 2518315 |
| PAPANDREADIS, ANDREW | SHAREHOLDER COMMON | |
| SCHNEID, JARED DAVID | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER | 850418 |
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.
