Charles R. Peterson
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.
Charles Rodrick Peterson was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 8 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2011 - May 8, 2013
MPS GLOBAL SECURITIES, LLC
June 7, 2011 - October 26, 2012
MPS FIXED INCOME LLC
June 17, 2010 - December 8, 2015
FIRST NEW YORK SECURITIES L.L.C.
October 8, 2007 - April 6, 2009
BEAR WAGNER SPECIALISTS LLC
September 12, 2006 - March 14, 2008
HBH SPECIALISTS LLC
July 19, 2001 - May 2, 2008
BEAR HUNTER STRUCTURED PRODUCTS LLC
July 12, 2000 - May 30, 2008
KV EXECUTION SERVICES LLC
June 20, 1996 - October 12, 1999
KALB, VOORHIS & CO., LLC
State Registrations and Notice Filings
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Exams
Current Firm
MPS GLOBAL SECURITIES, LLC
CRD#: 148689 / SEC#: , 8-68054
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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