Peter M. Peterson
Professional summary
Peter Martin Peterson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Peter had worked at 6 firms, which includes POINTE ATLANTIC INC, JHS CAPITAL ADVISORS LLC, SPARTAN SECURITIES GROUP LTD., H.C.WAINWRIGHT & CO. LLC, THE FIRST AMERICAN INVESTMENT BANKING CORPORATION, JOSEPHTHAL & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2007 - November 17, 2011
POINTE ATLANTIC, INC
June 5, 2006 - February 26, 2007
JHS CAPITAL ADVISORS, LLC
October 18, 2005 - March 17, 2006
JHS CAPITAL ADVISORS, LLC
November 26, 2002 - September 14, 2004
SPARTAN SECURITIES GROUP, LTD.
December 20, 1999 - April 10, 2001
H.C.WAINWRIGHT & CO., LLC
September 24, 1998 - November 11, 1999
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
January 23, 1997 - December 5, 1997
JOSEPHTHAL & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
POINTE ATLANTIC, INC
CRD#: 46599 / SEC#: , 8-51486
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASPEN CAPITAL PARTNERS, LLC | OWNER | |
| RICHARDSON, PAUL REID | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER | 1006146 |
Disclosures
| Arbitration | 1 |
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