Brian B. 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.
Brian Bruce Peterson was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2021 - April 15, 2024
THE LEADERS GROUP, INC.
April 1, 2015 - August 9, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 30, 2012 - March 30, 2015
QUESTAR CAPITAL CORPORATION
September 1, 2010 - March 26, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 3, 2007 - September 3, 2010
QUESTAR CAPITAL CORPORATION
February 25, 2003 - February 14, 2006
USALLIANZ SECURITIES, INC.
November 16, 1999 - April 30, 2001
PRUCO SECURITIES, LLC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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