EP
Eliot J. Peters
RA CAPITAL ADVISORS LLC
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 4808787
EP
Professional summary
Eliot Jerome Peters is a registered financial professional currently at RA CAPITAL ADVISORS LLC located in San Diego, California.
Eliot is registered as a RR (Registered Representative) and started their career in finance in 2004. Eliot has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Eliot Jerome Peters's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 14, 2004 - Present
RA CAPITAL ADVISORS LLC
Office #1: 11988 El Camino Real Suite 350, San Diego, CA 92130Office #2: 11988 El Camino Real Suite 350, San Diego, CA 92130BD
CRD#: 40992
San Diego, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/6/2006)
RR
Alaska(12/6/2006)
RR
Arizona(8/28/2006)
RR
Arkansas(12/6/2006)
RR
California(2/22/2006)
RR
Colorado(6/16/2006)
RR
Connecticut(5/16/2006)
RR
Delaware(6/16/2006)
RR
District of Columbia(6/16/2006)
RR
Florida(8/28/2006)
RR
Georgia(2/21/2007)
RR
Hawaii(5/14/2007)
RR
Idaho(8/28/2006)
RR
Illinois(1/3/2007)
RR
Indiana(2/26/2007)
RR
Iowa(2/22/2007)
RR
Kansas(2/21/2007)
RR
Kentucky(2/21/2007)
RR
Louisiana(2/21/2007)
RR
Maine(6/4/2007)
RR
Maryland(8/10/2007)
RR
Massachusetts(8/28/2006)
RR
Michigan(6/16/2006)
RR
Minnesota(6/16/2006)
RR
Mississippi(2/21/2007)
RR
Missouri(8/10/2007)
RR
Montana(8/28/2006)
RR
Nebraska(8/10/2007)
RR
Nevada(6/16/2006)
RR
New Hampshire(6/16/2006)
RR
New Jersey(12/6/2006)
RR
New Mexico(8/10/2007)
RR
New York(8/28/2006)
RR
North Carolina(12/6/2006)
RR
North Dakota(8/10/2007)
RR
Ohio(8/29/2006)
RR
Oklahoma(8/10/2007)
RR
Oregon(12/6/2006)
RR
Pennsylvania(6/16/2006)
RR
Rhode Island(12/6/2006)
RR
South Carolina(8/10/2007)
RR
South Dakota(8/10/2007)
RR
Tennessee(2/23/2007)
RR
Texas(8/28/2006)
RR
Utah(8/10/2007)
RR
Vermont(12/6/2006)
RR
Virginia(6/16/2006)
RR
Washington(8/28/2006)
RR
West Virginia(8/10/2007)
RR
Wisconsin(8/10/2007)
RR
Wyoming(8/10/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RA CAPITAL ADVISORS LLC
BATCHELDER & PARTNERS, INC. | RELATIONAL ADVISORS LLC | RA CAPITAL ASSOCIATES LLC | RA CAPITAL ADVISORS LLC
CRD#: 40992 / SEC#: , 8-49263
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11988 El Camino Real Suite 350, San Diego, CA 92130
Mailing Address
11988 El Camino Real Suite 350, San Diego, CA 92130
Phone number
(858) 704-3200
Established
Delaware since 12/02/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 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.
