Howard C. 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.
Howard Cooper Peterson was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1971. Howard had worked at 5 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
December 6, 1996 - June 30, 1998
TAKE CHARGE FINANCIAL
October 15, 1984 - July 10, 1996
INVESTSMART, INC.
June 15, 1973 - July 1, 1973
INDEPENDENT SECURITIES CORPORATION
May 21, 1973 - October 9, 1984
EQUITY PROGRAMS CORPORATION
January 6, 1971 - June 15, 1973
EQUITY FUNDING SECURITIES CORP
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: 1/2/1971
Registered Representative ExaminationF04
Date: 8/14/1975
Financial Principal ExaminationSeries 00
Date: 7/12/1973
General Securities Principal ExaminationCurrent Firm
TAKE CHARGE FINANCIAL
CRD#: 16724 / SEC#: , 8-34543
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERRY, JOAN ANNE | PRESIDENT/CFO/FINOP/SROP/CROP/CCO | 502847 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
