Robert S. Peterson
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.
Robert Samuel Caperton Peterson, who also goes by Robert Samuel Peterson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 3 firms and has passed the Series 63, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 1987 - November 18, 1998
ABBEY-ASHFORD SECURITIES, INC.
February 13, 1980 - August 16, 1983
J.W. MCCLEES AND COMPANY, INC.
November 6, 1975 - March 17, 1988
ROBERT S. C. PETERSON, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 9/11/1975
Financial Principal ExaminationSeries 00
Date: 8/28/1975
General Securities Principal ExaminationCurrent Firm
ABBEY-ASHFORD SECURITIES, INC.
CRD#: 17650 / SEC#: , 8-35555
Contact information
Documents
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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