Mark F. 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.
Mark Franklin Peters was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 7 firms and has passed the Series 65, 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
February 9, 2009 - December 21, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 5, 2009 - December 21, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 20, 2002 - December 31, 2008
OSAIC FS, INC.
October 1, 1997 - December 31, 2008
OSAIC FS, INC.
December 6, 1995 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 11, 1994 - November 30, 1995
UNITED PACIFIC SECURITIES, INC.
February 7, 1989 - March 15, 1994
PROGRAMMED EQUITIES CORPORATION
January 22, 1986 - June 30, 1988
PLANNED INVESTMENTS INC.
September 17, 1984 - January 29, 1986
USLIFE EQUITY SALES CORP.
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: 7/16/1977
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| 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.
