Peter Rettman
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 Rettman was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 1994 - November 20, 2017
NATIONAL SECURITIES CORPORATION
May 9, 1992 - December 9, 1994
PIPER SANDLER & CO.
September 4, 1990 - May 8, 1992
WELLS FARGO CLEARING SERVICES, LLC
March 25, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 19, 1978 - April 12, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 20, 1973 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
October 6, 1970 - March 14, 1973
DUPONT WALSTON, 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 5
Date: 11/30/1981
Interest Rate Options ExaminationPC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 9/22/1970
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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