Kal T. Peters
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.
Kal T Peters, who also goes by Kal Pamela Thomas, Kaliope Pamela Thomas, was a registered financial professional .
Kal is a previously registered financial professional and started their career in finance in 2005. Kal had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2017 - September 30, 2019
THE LEADERS GROUP, INC.
September 28, 2009 - February 22, 2017
FAS CORP.
September 4, 2009 - September 28, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 19, 2007 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 8, 2005 - May 25, 2007
PRINCIPAL 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
