Fredus N. Peters
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.
Fredus Nelson Peters V, who also goes by Nelson Peters, was a registered financial professional .
Fredus is a previously registered financial professional and started their career in finance in 2010. Fredus had worked at 3 firms 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
November 14, 2014 - February 27, 2015
MERCAP SECURITIES, LLC
August 9, 2012 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
September 16, 2010 - May 2, 2011
QUESTAR CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERCAP SECURITIES, LLC
CRD#: 156607 / SEC#: , 8-68810
Contact information
FINRA licenses (1 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.
