Michael A. 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.
Michael Andrew Peters, who also goes by Michael A Peters, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2016 - July 28, 2021
VANDERBILT SECURITIES, LLC
February 11, 2016 - November 30, 2016
SCF SECURITIES, INC.
April 2, 2015 - February 11, 2016
CETERA WEALTH SERVICES, LLC
February 11, 2014 - February 11, 2016
CETERA WEALTH SERVICES, LLC
April 29, 2011 - February 25, 2014
CETERA ADVISORS LLC
April 13, 2000 - May 6, 2011
WALNUT STREET SECURITIES, INC.
January 20, 1999 - March 30, 2000
MOORS & CABOT, INC.
July 27, 1995 - March 14, 1997
THE ADVISORS GROUP, INC.
January 20, 1992 - July 26, 1995
EQUITABLE ADVISORS, LLC
January 17, 1992 - July 26, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 16, 1991 - September 4, 1991
MUTUAL SERVICE CORPORATION
February 18, 1986 - August 31, 1989
GLEACHER & COMPANY SECURITIES, INC.
December 19, 1984 - March 7, 1986
MOSELEY SECURITIES CORPORATION
March 17, 1981 - December 20, 1984
THOMSON MCKINNON SECURITIES INC.
August 28, 1979 - April 5, 1981
LEHMAN BROTHERS INC.
March 17, 1978 - September 2, 1979
FITTIN, CUNNINGHAM & LAUZON, INC.
March 1, 1978 - April 6, 1978
GROWTH FACTS,INC.
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 8
Date: 8/5/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
