Roger B. Peikin

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CRD#: 3012336

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.

Roger B Peikin was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1998. Roger had worked at 2 firms and has passed the Series 27 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 19, 2000 - December 31, 2004

BATEMAN EICHLER & CO., LLC

CRD#: 103480

SANTA MONICA, CA

Past

December 1, 1998 - August 25, 2010

ALETHEIA SECURITIES, INC.,

CRD#: 44784

SANTA MONICA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam

Series 27

Date: 8/12/1998

Financial and Operations Principal Examination

Current Firm

BATEMAN EICHLER & CO., LLC

CRD#: 103480 / SEC#: , 8-52178

Terminated by SEC on 02/15/2005

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 09/29/1999

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ALETHEIA RESEARCH AND MANAGEMENT, INC.	HOLDING COMPANY
EICHLER, PETER JAMES JR	PRESIDENT/CEO/DIRECTOR/GSP	721033
BARNES, PATRICIA CAMP	MUNICIPAL PRINCIPAL/SROP/CROP/GSP/CCO	1207636
PEIKIN, ROGER B	EVP/FINOP/CLO/DIRECTOR

Red Flags

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Roger B. Peikin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BATEMAN EICHLER & CO., LLC

ALETHEIA SECURITIES, INC.,

State Registrations and Notice Filings

Exams

Series 27

Date: 8/12/1998

Current Firm

BATEMAN EICHLER & CO., LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

BATEMAN EICHLER & CO., LLC

TRUST BUT VERIFY

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