Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Leroy Peter is a financial advisor with over 30 years of experience in the industry. Erik currently works at Smbc Nikko Securities America, Inc. in San Francisco, California and has been registered with the firm since September 4, 2015. Erik has been registered with the state of California since September 4, 2015 and is currently registered with 51 states in the US. Erik has passed the Series 3, Series 7, Series 24 and Series 63 exams and is registered as a general securities principal. Prior to joining Smbc Nikko Securities America, Inc. Erik has worked at Mizuho Securities USA Inc, UBS Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bear, Stearns & Co. Inc. and Nomura Securities International, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CA
09/04/2015 - Present
Smbc Nikko Securities America, Inc. (SAN FRANCISCO CA)
CA
05/29/2013 - 09/15/2015
MIZUHO SECURITIES USA INC. (SAN FRANCISCO CA)
CA
09/15/2000 - 04/10/2013
UBS SECURITIES LLC (SAN FRANCISCO CA)
NY
07/18/1997 - 09/07/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/22/1995 - 03/28/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
04/17/1993 - 10/11/1995
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
11/25/1992 - 03/30/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
06/10/1985 - 12/24/1992
DISCOUNT CORPORATION OF NEW YORK FUTURES
BC
Issued 10/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/04/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1985
Series 7 - General Securities Representative Examination
BC
Issued 09/26/1984
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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