Conner 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.
Conner Peters, who also goes by Conner Peters, was a registered financial professional .
Conner is a previously registered financial professional and started their career in finance in 2017. Conner had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2020 - November 5, 2020
CPS FINANCIAL & INSURANCE SERVICES, INC.
June 11, 2019 - November 18, 2019
STRATCAP SECURITIES, LLC
December 21, 2017 - December 17, 2018
PACIFIC SELECT DISTRIBUTORS, LLC
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
Current Firm
CPS FINANCIAL & INSURANCE SERVICES, INC.
CRD#: 41243 / SEC#: , 8-49337
Contact information
FINRA licenses (51 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.
