Herbert F. Peterson
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.
Herbert Fredrich Peterson, who also goes by Herbert Fredrick Peterson, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 8 firms and has passed the Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1988 - December 9, 2005
MILLER JOHNSON STEICHEN KINNARD, INC.
February 1, 1988 - May 18, 1988
OBERWEIS SECURITIES, INC.
September 20, 1978 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
April 24, 1978 - August 13, 1978
NOBLE SECURITIES CO.
February 15, 1977 - December 22, 1977
BROKERS' TRADING, INC.
October 16, 1972 - December 1, 1975
MARGOLIS & CO., INC.
February 18, 1972 - October 28, 1972
THE MARSHALL COMPANY, INC.
December 4, 1970 - March 18, 1972
BISHOP AND MAHONEY INCORPORATED
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: 10/27/1959
Registered Representative ExaminationF04
Date: 2/15/1973
Financial Principal ExaminationSeries 00
Date: 1/17/1967
General Securities Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
Red Flags
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