Peter G. Rose
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 Gar Rose was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 3 firms and has passed the Series 63, Series 7, Series 22, Series 1, Series 24, Series 53 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2005 - June 2, 2005
BASIC INVESTORS INC.
August 13, 2001 - January 31, 2005
WESTCAP SECURITIES, INC.
December 18, 1998 - December 15, 2000
WESTCAP SECURITIES, INC.
November 23, 1994 - July 14, 1997
IRVINE SECURITIES, 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
Series 1
Date: 10/13/1975
Registered Representative ExaminationCurrent Firm
BASIC INVESTORS INC.
CRD#: 1187 / SEC#: , 8-5468
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BELZ, RICHARD JOHN | VICE PRESIDENT FINANCIAL OPERATIONS PRINCIPAL,ROP | 1140219 |
Disclosures
| Regulatory Event | 7 |
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.
