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JP

James K. Peters

ALT FUND DISTRIBUTORS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 7823525
JP

Professional summary

James Kenneth Peters, who also goes by James Peters, is a registered financial professional currently at ALT FUND DISTRIBUTORS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2023. James has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Peters

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: MAIN STREET FINANCIAL GROUP POSITION: New Employee, Field Assistant NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 128 START DATE: 10/09/2023 ADDRESS: 51 East Main Street, Smithtown NY 11787 DESCRIPTION: Assist registered rep, client phone calls, office duties

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Kenneth Peters's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 24, 2025 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017
BD
CRD#: 146547
New York, NY
Past

January 5, 2024 - February 24, 2025

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SMITHTOWN, NY
Past

November 1, 2023 - February 24, 2025

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Smithtown, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/1/2023
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/12/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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.

Company Information

ALT FUND DISTRIBUTORS LLC

CRD#: 146547New York, NY 10017

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