Peter D. Hans
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 D Hans was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2005. Peter had worked at 5 firms and has passed the Series 66, Series 63, Series 7 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
May 3, 2010 - July 1, 2013
HEIGHT CAPITAL MARKETS
December 17, 2009 - May 4, 2017
HEIGHT ANALYTICS, LLC
July 15, 2009 - May 26, 2010
IRC SECURITIES LLC
February 17, 2009 - July 15, 2009
IRC SECURITIES
July 13, 2005 - February 23, 2009
B. RILEY 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
Current Firm
HEIGHT CAPITAL MARKETS
CRD#: 150659 / SEC#: , 8-68277
Contact information
FINRA licenses (26 States and Territories)
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.
