Kent W. 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.
Kent Warren Peterson was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1981. Kent had worked at 16 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2003 - February 27, 2014
FORTA FINANCIAL GROUP, INC.
December 1, 2003 - February 27, 2014
FORTA FINANCIAL GROUP, INC.
January 3, 2003 - December 10, 2003
CAPWEST SECURITIES, INC.
May 17, 2002 - December 10, 2003
CAPWEST SECURITIES, INC.
November 10, 2000 - November 18, 2002
BLAKE STREET BCM MANAGEMENT LLC
January 1, 1999 - November 15, 2002
BLAKE STREET ADVISORS LLC
July 21, 1998 - May 17, 2002
BLAKE STREET SECURITIES LLC
March 26, 1996 - September 23, 1998
LAIDLAW GLOBAL SECURITIES, INC.
August 29, 1994 - March 28, 1996
GLOBAL CAPITAL SECURITIES CORPORATION
April 12, 1994 - September 8, 1994
SIGNATURE BROKER-DEALER SERVICES, INC.
January 20, 1992 - September 9, 1993
STRATEGIC RESOURCE MANAGEMENT, INC.
February 22, 1991 - January 28, 1992
BURNETT, GREY & CO., INC.
September 21, 1990 - February 20, 1991
WILLIAM BARTON FINANCIAL, INC.
June 13, 1984 - September 25, 1990
TRI-BRADLEY INVESTMENTS
February 24, 1984 - June 11, 1984
B. J. LEONARD AND COMPANY, INC.
February 23, 1983 - February 22, 1984
HACKERT/MODESITT INVESTMENTS, LTD.
September 29, 1982 - March 21, 1983
J. W. GANT & ASSOCIATES, INC.
April 13, 1981 - August 5, 1982
J DANIEL BELL & COMPANY, 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
Current Firm
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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.
