Steven R. Peabody
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.
Steven Robert Peabody, who also goes by Bob Peabody, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2006 - December 6, 2006
1ST GLOBAL CAPITAL CORP.
July 26, 2004 - September 15, 2005
LEGACY FINANCIAL SERVICES, INC.
January 15, 2003 - July 26, 2004
ALLSTATE FINANCIAL SERVICES, LLC
September 1, 1997 - January 30, 2003
IDS LIFE INSURANCE COMPANY
September 1, 1997 - January 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 1995 - September 24, 1997
RAGEN MACKENZIE INVESTMENT SERVICES, LLC
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
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| 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.
