Roger O. Peterkin
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.
Roger Omega Peterkin III, who also goes by Roger Omega Peterkin, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1981. Roger had worked at 5 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 8, Series 53, Series 27, Series 4 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
May 26, 2010 - October 27, 2010
TD AMERITRADE, INC.
July 17, 2006 - May 26, 2010
BELLEVUE CHICAGO, LLC
June 13, 1995 - August 18, 2004
MOORS & CABOT, INC.
July 14, 1986 - April 27, 1995
J. EDMUND & CO.
June 4, 1984 - April 27, 1995
J. EDMUND & CO.
April 13, 1981 - September 16, 1983
CANACCORD GENUITY 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
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationSeries 8
Date: 7/19/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
