Linda K. Peressini
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.
Linda Kay Peressini, who also goes by Linda Kay Johnson, Linda Kay Yates, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1980. Linda had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2009 - December 18, 2015
NATIONAL PLANNING CORPORATION
August 28, 2009 - December 18, 2015
NATIONAL PLANNING CORPORATION
August 1, 2003 - August 28, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
July 25, 2003 - August 28, 2009
ASSOCIATED SECURITIES CORP.
December 16, 1997 - August 6, 2003
SENTRA SECURITIES CORPORATION
April 16, 1997 - August 6, 2003
SENTRA SECURITIES CORPORATION
August 1, 1995 - April 16, 1997
LAGUNA SECURITIES, INC.
May 12, 1992 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
March 2, 1990 - May 27, 1992
FSC SECURITIES CORPORATION
February 13, 1990 - March 6, 1990
NILCORP SECURITIES COMPANY
August 16, 1989 - February 8, 1990
BOARDWALK CAPITAL CORPORATION
November 2, 1988 - August 15, 1989
PFG SECURITIES, INC.
February 28, 1986 - October 31, 1988
CHRISTOPHER WEIL & COMPANY, INC
July 13, 1983 - March 10, 1986
CETERA WEALTH SERVICES, LLC
July 26, 1981 - July 7, 1983
FSC SECURITIES CORPORATION
August 25, 1980 - August 3, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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 1
Date: 8/11/1980
Registered Representative ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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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