Peter C. Maes
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 Cruz Maes, who also goes by Peter C Maes, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2009. Peter had worked at 4 firms and has passed the Series 65, 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 12, 2015 - June 4, 2019
PERSONAL CAPITAL ADVISORS CORPORATION
August 14, 2014 - February 4, 2015
KESTRA INVESTMENT SERVICES, LLC
August 14, 2014 - February 4, 2015
KESTRA INVESTMENT SERVICES, LLC
January 27, 2012 - August 14, 2014
FINANCIAL TELESIS INC
January 26, 2012 - August 14, 2014
FINANCIAL TELESIS INC
September 16, 2009 - January 31, 2012
PRUCO SECURITIES, LLC.
January 21, 2009 - January 31, 2012
PRUCO SECURITIES, LLC.
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
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
