Lawrence E. Peterson
Professional summary
Lawrence Edwin Peterson JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Lawrence had worked at 6 firms, which includes THE SEIDLER COMPANIES INCORPORATED, ALEXANDER DUNHAM SECURITIES INC., L.E. PETERSON AND COMPANY, DIEHL & COMPANY, PETERSON DIEHL & COMPANY INC., CECO FINANCIAL SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1999 - December 31, 2000
THE SEIDLER COMPANIES INCORPORATED
December 5, 1995 - October 22, 1996
ALEXANDER DUNHAM SECURITIES, INC.
April 7, 1983 - May 7, 1986
L.E. PETERSON AND COMPANY
June 15, 1982 - November 15, 1982
DIEHL & COMPANY
June 9, 1978 - January 12, 1983
PETERSON, DIEHL & COMPANY, INC.
December 9, 1976 - December 7, 1977
CECO FINANCIAL SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 11/29/1976
Registered Principal ExaminationF04
Date: 11/22/1976
Financial Principal ExaminationCurrent Firm
THE SEIDLER COMPANIES INCORPORATED
CRD#: 3911 / SEC#: , 8-14662
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEIDLER HOLDINGS INCORPORATED | PARENT COMPANY | |
| BECK, PAUL ROBERT | PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER & DIRECTOR | 1288090 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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