Peter J. Ochs
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 John Ochs was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2004. Peter had worked at 3 firms and has passed the Series 66 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
August 15, 2006 - March 12, 2014
LODESTAR PRIVATE ASSET MANAGEMENT LLC
February 14, 2006 - December 31, 2006
PARAGON FINANCIAL ADVISORS, INC.
March 30, 2004 - December 31, 2005
CARILLON INVESTMENTS, INC.
Primary Firm SEC Registration
LODESTAR PRIVATE ASSET MANAGEMENT LLC
CRD#: 107638 / SEC#: 801-37511
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
LODESTAR PRIVATE ASSET MANAGEMENT LLC
CRD#: 107638 / SEC#: 801-37511
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,809 |
| AUM (Assets Under Management) | $ 1,115,962,886 |
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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