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Peter H. Gugisberg

Some features on this profile are disabled
CRD#: 3146810
PG

Professional summary

Peter Harvey Gugisberg 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 1998. Prior to being barred, Peter had worked at 1 firm, which includes BISON CAPITOL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

December 16, 1998 - October 2, 2006

BISON CAPITOL, INC.

BD
CRD#: 36447
FARGO, ND

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

State Security Law Exam
RR
Series 63
Date: 1/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/14/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2001
General Securities Principal Examination

Current Firm

BC
BISON CAPITOL, INC.
BISON CAPITOL, INC.

CRD#: 36447 / SEC#: , 8-47268

BD
Terminated by SEC on 12/01/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
North Dakota since 02/18/1994
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HAGER, LORIS K.SECRETARY
SELTVEDT, MICHAEL LEEDIRECTOR1890321
DAVIS, RYAN BRENTFINANCIAL OPERATIONS PRINCIPAL2916920
GUGISBERG, PETER HARVEYPRINCIPAL/PRESIDENT3146810

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.

Company Information

BISON CAPITOL, INC.

CRD#: 36447

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