Casey P. Peterson
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.
Casey Philip Peterson, who also goes by Casey Philip Petersen, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2005. Casey had worked at 1 firm and has passed the Series 63, 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
August 17, 2005 - May 19, 2016
ACAP FINANCIAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ACAP FINANCIAL INC.
CRD#: 7731 / SEC#: , 8-22821
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, KIRK LYNN | PRESIDENT, CEO, CFO, CCO, CO | 1307741 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
