Peter J. Worrell
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 Jason Worrell, who also goes by Perter Joseph Worrell, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1995. Peter had worked at 4 firms and has passed the Series 63, 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
January 19, 1999 - May 9, 2001
ROYAL HUTTON SECURITIES CORP.
January 7, 1998 - November 19, 1998
CENTEX SECURITIES, INCORPORATED
October 3, 1996 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
July 12, 1996 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
April 7, 1995 - July 15, 1996
ROYCE INVESTMENT GROUP, 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
Current Firm
ROYAL HUTTON SECURITIES CORP.
CRD#: 14489 / SEC#: , 8-30742
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
| Bond | 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.
