Gary L. 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.
Gary Lud Peters was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1971. Gary had worked at 6 firms and has passed the Series 7 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
January 18, 1988 - February 4, 2008
LASALLE FINANCIAL SERVICES, INC.
October 18, 1979 - December 16, 1985
BUTCHER & SINGER INC.
March 7, 1979 - October 2, 1979
HAMILTON/COOKE & CO. OF FLORIDA, INC.
July 27, 1978 - August 24, 1982
DRYSDALE SECURITIES CORPORATION
January 3, 1978 - July 16, 1978
KUHNS BROTHERS & LAIDLAW, INC.
November 10, 1971 - July 28, 1972
UMIC, 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 00
Date: 11/8/1971
General Securities Principal ExaminationCurrent Firm
LASALLE FINANCIAL SERVICES, INC.
CRD#: 20373 / SEC#: , 8-38264
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
