William F. Peck
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.
William Francis Peck was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2015 - December 4, 2024
ASCENDIANT CAPITAL MARKETS, LLC
August 23, 2007 - February 9, 2015
HUNTER WISE SECURITIES, LLC
December 19, 2005 - August 22, 2007
CITIGROUP GLOBAL MARKETS INC.
January 22, 2001 - January 18, 2006
CITIGROUP GENEVA CAPITAL STRATEGIES 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
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