Peter 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.
Peter John Peters was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1979. Peter had worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2017 - October 21, 2022
AUERBACH GRAYSON & COMPANY LLC
August 31, 2017 - October 11, 2017
EFG-HERMES USA, INC.
February 13, 2017 - September 1, 2017
BRASIL PLURAL SECURITIES LLC
April 13, 2011 - February 10, 2017
AUERBACH GRAYSON & COMPANY LLC
March 6, 2006 - March 10, 2011
NUMIS SECURITIES LLC
August 10, 2005 - February 27, 2006
ODDO BHF NEW YORK CORPORATION
May 3, 2005 - July 20, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
September 15, 2000 - April 15, 2004
BNP PARIBAS SECURITIES CORP.
March 18, 1997 - September 14, 2000
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
July 23, 1994 - March 24, 1997
J.P. MORGAN SECURITIES LLC
July 9, 1993 - June 30, 1994
JAMES CAPEL INCORPORATED
June 24, 1983 - June 1, 1993
NATIXIS SECURITIES AMERICAS LLC
March 2, 1981 - May 31, 1983
NOMURA SECURITIES INTERNATIONAL, INC.
July 28, 1980 - February 28, 1981
CIBC WORLD MARKETS CORP.
February 19, 1980 - March 20, 1980
THOMSON MCKINNON SECURITIES INC.
May 1, 1979 - February 4, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
AUERBACH GRAYSON & COMPANY LLC
CRD#: 30761 / SEC#: , 8-45136
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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