Albert M. 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.
Albert Markman Peters was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1980. Albert had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2014 - May 1, 2015
CLEANBRIDGE SECURITIES, LLC
November 19, 2009 - December 19, 2013
LEUCADIA ASSET MANAGEMENT LLC
June 4, 2009 - December 19, 2013
JEFFERIES LLC
June 7, 2006 - September 8, 2006
DOMINICK & DICKERMAN LLC
May 19, 2003 - August 11, 2005
CITICORP INVESTMENT SERVICES
May 30, 1995 - May 14, 2002
PERSHING LLC
November 16, 1981 - June 13, 1995
GOLDMAN SACHS & CO. LLC
August 19, 1980 - November 15, 1981
SALOMON BROTHERS 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 5
Date: 10/25/1982
Interest Rate Options ExaminationSeries 8
Date: 11/7/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CLEANBRIDGE SECURITIES, LLC
CRD#: 140889 / SEC#: , 8-67348
Contact information
FINRA licenses (11 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.
