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Peter David Kvam

Purshe Kaplan Sterling Investments

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About Peter David Kvam

Peter Kvam is a financial advisor at Purshe Kaplan Sterling Investments with over 20 years of experience in the industry. Peter is registered with FINRA and holds a Series 7, Series 24, Series 52, Series 53, Series 99 and SIE. Peter is registered in New York and is currently an active broker-dealer.

Firm Information

Peter Kvam is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Peter Kvam’s Registration & Firm History

NY

03/15/2021 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

NY

08/17/2011 - 03/12/2021

HEALTHCARE COMMUNITY SECURITIES CORPORATION (RENSSELAER NY)

NY

03/03/2008 - 05/02/2011

PURSHE KAPLAN STERLING INVESTMENTS (ALBANY NY)

NY

11/14/2007 - 03/05/2008

SECURITIES SERVICE NETWORK, INC. (ALBANY NY)

NY

05/27/2005 - 09/20/2007

GENWORTH FINANCIAL SECURITIES CORPORATION (ALBANY NY)

SC

08/21/2003 - 05/17/2005

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

NY

02/15/2001 - 06/04/2003

QUICK & REILLY, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/22/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/31/2009

Series 53 - Municipal Securities Principal Examination

BC

Issued 06/05/2008

Series 24 - General Securities Principal Examination

BC

Issued 03/28/2002

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/14/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter David Kvam.
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