Stephen D. Peskoff
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.
Stephen David Peskoff was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 10 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2002 - January 13, 2003
B. RILEY SECURITIES, INC.
April 21, 1997 - December 31, 2001
B. RILEY SECURITIES, INC.
September 17, 1996 - March 5, 1997
PACVEST ASSOCIATES, INC.
September 18, 1991 - October 13, 1995
USA CAPITAL
June 12, 1989 - September 13, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 6, 1989 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 9, 1982 - October 11, 1988
ERIE CAPITAL INVESTMENT CORPORATION
September 13, 1973 - December 7, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
February 22, 1971 - October 7, 1973
FIRST CLEVELAND INVESTMENTS, INC.
January 4, 1971 - April 1, 1974
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 26, 1970 - January 19, 1971
EQUITY FUNDING SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/19/1970
Registered Representative ExaminationCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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