Ronald 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.
Ronald Charles Peterson was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1972. Ronald had worked at 12 firms and has passed the Series 63, PC, Series 5, Series 15, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1996 - April 14, 2003
THREE ARROWS CAPITAL CORP.
September 26, 1994 - June 20, 1995
ALARON SECURITIES CORPORATION
June 14, 1994 - October 4, 1994
GLOBAL STRATEGIES GROUP, INC.
April 19, 1991 - November 23, 1993
WASHINGTON INVESTMENT CORPORATION
March 24, 1987 - April 16, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 10, 1982 - March 20, 1987
UBS FINANCIAL SERVICES INC.
May 20, 1981 - September 23, 1982
CONTISECURITIES, INC.
February 12, 1980 - September 19, 1981
E. F. HUTTON & COMPANY INC
March 27, 1978 - February 19, 1991
MORGAN STANLEY DW INC.
February 11, 1977 - January 10, 1978
LOEB, RHOADES & CO. INC.
February 12, 1974 - February 22, 1977
HAYDEN STONE INC.
January 10, 1972 - March 1, 1974
PAINE, WEBBER, JACKSON & CURTIS 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
PC
Date: 3/16/1983
AMEX Put and Call ExamSeries 5
Date: 2/9/1983
Interest Rate Options ExaminationSeries 15
Date: 11/15/1982
Foreign Currency Options ExaminationSeries 1
Date: 1/7/1972
Registered Representative ExaminationCurrent Firm
THREE ARROWS CAPITAL CORP.
CRD#: 40669 / SEC#: , 8-49131
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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