Franklin O. Peters
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.
Franklin Orman Peters, who also goes by Frank Peters, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1970. Franklin had worked at 5 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2010 - December 31, 2012
FORESTERS EQUITY SERVICES, INC.
August 24, 2006 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 15, 2005 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
November 16, 1989 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
April 16, 1970 - November 14, 1989
WASHINGTON NATIONAL EQUITY COMPANY
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: 4/6/1970
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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