Peter B. Weprin
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 Benjamin Weprin was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2006. Peter had worked at 5 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2011 - August 18, 2016
BROCK SECURITIES LLC
September 14, 2010 - July 23, 2011
HIGHTOWER SECURITIES, LLC
July 14, 2008 - February 17, 2009
COWEN AND COMPANY
October 31, 2006 - May 29, 2007
S. GOLDMAN ADVISORS, LLC
October 13, 2006 - July 7, 2008
SSC NY CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 9/2/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
BROCK SECURITIES LLC
CRD#: 122156 / SEC#: , 8-65467
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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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