James P. Peterson
Professional summary
James Paul Peterson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, James had worked at 3 firms, which includes PFIC SECURITIES CORPORATION, MAGNA INVESTMENTS, NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1999 - April 13, 2001
PFIC SECURITIES CORPORATION
November 19, 1998 - November 30, 1999
MAGNA INVESTMENTS
February 21, 1997 - November 3, 1998
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
PFIC SECURITIES CORPORATION
CRD#: 34941 / SEC#: , 8-46616
Contact information
Documents
Direct owners and executive officers
Disclosures
| Arbitration | 2 |
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