Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Cappos is a financial professional with over 29 years of experience in the industry. Peter is currently registered with Hilltop Securities Inc. and has been with them since 2014. Before Hilltop Securities Inc., Peter was with M.L. STERN & CO., LLC. and Southwest Securities, Inc. Peter has earned the Series 63, Series 53, Series 24, Series 99TO, SIE, and Series 7 licenses. Peter is also registered with the state of California as an Investment Advisor Representative.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
CA
06/21/2023 - Present
Hilltop Securities Inc. (Sherman Oaks CA)
CA
03/02/1994 - 01/21/2009
M.L. STERN & CO., LLC. (BEVERLY HILLS CA)
BC
Issued 04/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/22/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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