Heinz Peter
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.
Heinz Peter was a registered financial professional .
Heinz is a previously registered financial professional and started their career in finance in 1971. Heinz had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 1997 - November 30, 2023
CARDINAL INVESTMENTS, INC.
April 5, 1991 - July 8, 1997
FIRST GATEWAY SECURITIES INC.
November 18, 1988 - February 28, 1991
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
September 11, 1984 - February 1, 1988
I.M. SIMON & CO., INC.
January 3, 1983 - January 10, 1983
THOMSON MCKINNON SECURITIES INC.
January 3, 1983 - September 10, 1984
WZW FINANCIAL SERVICES, INC.
June 17, 1971 - September 27, 1982
WZW FINANCIAL SERVICES, INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 3/1/1977
AMEX Put and Call ExamSeries 1
Date: 6/12/1971
Registered Representative ExaminationSeries 40
Date: 8/23/1978
Registered Principal ExaminationCurrent Firm
CARDINAL INVESTMENTS, INC.
CRD#: 36838 / SEC#: , 8-47493
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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