Peter L. Tesche
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 L Tesche was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2009. Peter had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2014 - November 17, 2017
CLEANBRIDGE SECURITIES, LLC
January 6, 2010 - June 27, 2011
HALPERN CAPITAL, INC.
October 21, 2009 - January 6, 2010
TANGENT CAPITAL PARTNERS, LLC
April 3, 2009 - October 21, 2009
HALPERN CAPITAL, 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
Series 37
Date: 2/11/2009
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
CLEANBRIDGE SECURITIES, LLC
CRD#: 140889 / SEC#: , 8-67348
Contact information
FINRA licenses (11 States and Territories)
Documents
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.
