David J. 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.
David James Peters, who also goes by Dave Peters, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 8 firms and has passed the Series 63, 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
April 20, 2010 - December 31, 2013
NPB FINANCIAL GROUP, LLC
April 19, 2010 - December 31, 2013
NPB FINANCIAL GROUP, LLC
September 24, 2009 - December 18, 2009
LPL FINANCIAL LLC
September 8, 2009 - April 27, 2010
LPL FINANCIAL LLC
January 12, 2009 - October 30, 2021
DAVID J. PETERS FINANCIAL SERVICES, INC.
September 13, 2006 - December 31, 2008
DAVID J. PETERS FINANCIAL SERVICES, INC.
October 16, 2003 - September 29, 2009
ASSOCIATED SECURITIES CORP.
September 24, 2001 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
June 28, 2001 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 10, 1993 - June 28, 2001
CETERA WEALTH SERVICES, LLC
June 19, 1987 - April 27, 1994
ROBERT W. BAIRD & CO. INCORPORATED
July 26, 1976 - April 27, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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 1
Date: 7/19/1976
Registered Representative ExaminationCurrent Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
