Philip H. 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.
Philip Homer Peters JR was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1974. Philip had worked at 7 firms and has passed the Series 63, SIE, Series 5, PC, Series 1, Series 000, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2014 - October 13, 2017
ACADEMY SECURITIES, INC.
May 12, 2008 - July 15, 2014
CAROLINA CAPITAL MARKETS, INC.
November 26, 2007 - May 9, 2008
GUGGENHEIM SECURITIES, LLC
March 1, 2006 - December 6, 2007
BNY CAPITAL MARKETS INC.
February 14, 2001 - February 23, 2006
CAROLINA CAPITAL MARKETS, INC.
March 22, 1991 - November 29, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 13, 1983 - March 22, 1991
CREDIT SUISSE SECURITIES (USA) LLC
July 1, 1980 - June 22, 1983
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1974 - July 23, 1980
CITIGROUP GLOBAL MARKETS 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 5
Date: 5/24/1984
Interest Rate Options ExaminationPC
Date: 3/20/1984
AMEX Put and Call ExamSeries 1
Date: 3/4/1974
Registered Representative ExaminationSeries 000
Date: 3/1/1974
General Securities Principal ExaminationSeries 8
Date: 3/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
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.
