Mark Ryan Peterson
Professional Summary
Mark Ryan Peterson is a registered financial advisor currently at PENSERRA SECURITIES, LLC located in Orinda, California. Mark is registered as a RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC
Contact Information
Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563Phone Number
(646) 459-0581Established
New York since 02/27/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/6/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2010SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark Ryan Peterson's CRS (Customer Relationship Summary).
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