Peter P. Berman
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 Phillips Berman, who also goes by Phillips Berman Peter, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2000. Peter had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2007 - December 23, 2014
CENTAURUS FINANCIAL, INC.
June 28, 2007 - December 23, 2014
CENTAURUS FINANCIAL, INC.
June 21, 2006 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
June 16, 2006 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
March 28, 2005 - June 29, 2006
BRECEK & YOUNG ADVISORS, INC.
March 28, 2005 - June 29, 2006
BRECEK & YOUNG ADVISORS, INC.
August 20, 2003 - March 28, 2005
LEGACY ADVISORY SERVICES, INC.
August 18, 2003 - March 28, 2005
LEGACY FINANCIAL SERVICES, INC.
March 26, 2002 - August 15, 2003
WADDELL & REED
March 25, 2002 - August 15, 2003
WADDELL & REED
July 7, 2000 - March 1, 2002
SUNSET FINANCIAL SERVICES, INC.
February 7, 2000 - June 19, 2000
PFS INVESTMENTS INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
