Peter C. Kuo
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 Chin Kuo was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2001. Peter had worked at 6 firms and has passed the Series 63, SIE, 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
July 26, 2011 - November 28, 2017
LAZARD FRERES & CO. LLC
June 1, 2010 - May 31, 2011
COWEN AND COMPANY
September 27, 2006 - May 21, 2009
SUSQUEHANNA FINANCIAL GROUP, LLLP
February 3, 2004 - September 18, 2006
W.R. HAMBRECHT + CO., LLC
August 19, 2003 - January 22, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
January 19, 2001 - August 12, 2003
BROADVIEW INTERNATIONAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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