Peter S. Rawlings
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.
Peter Sayres Rawlings was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 3 firms and has passed the Series 63 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
April 13, 2005 - July 15, 2014
U.S. RE SECURITIES, LLC
June 16, 2003 - May 19, 2011
VFINANCE INVESTMENTS, INC
May 28, 1992 - June 4, 2003
INVESTEC 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
Current Firm
U.S. RE SECURITIES, LLC
CRD#: 132812 / SEC#: , 8-66640
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. RE COMPANIES, INC. | MEMBER | |
| DAVIES, RICHARD | MEMEBER OF THE BORAD OF MANAGERS | |
| JOSEPH, WILLIAM HENRY | CHIEF COMPLIANCE OFFICER | 2454241 |
| MARRONE, MICHAEL THOMAS | CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL | |
| PICCIONE, TAL PATRIC | MEMBER OF THE BORAD OF MANAGERS | |
| RAWLINGS, PETER SAYRES | CHAIRMAN AND MEMBER OFTHE BOARD OF MANAGERS AND CHIEF EXECUTIVE OFFICER | 371594 |
Red Flags
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