Todd C. Peterson
Professional summary
Todd Chester Peterson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Todd had worked at 5 firms, which includes PACIFIC CORTEZ SECURITIES INCORPORATED, LEGEND MERCHANT GROUP INC., ASH FINANCIAL CORP., H.J. MEYERS & CO. INC., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 1998 - October 9, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
December 11, 1997 - January 17, 1998
LEGEND MERCHANT GROUP, INC.
October 8, 1997 - December 11, 1997
LEGEND MERCHANT GROUP, INC.
June 6, 1997 - November 12, 1997
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
December 13, 1995 - April 18, 1997
INVESTORS ASSOCIATES, 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 62
Date: 12/12/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
Documents
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.
