Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter K. Peng is a financial advisor with J.p. Morgan Securities LLC. Peter has over 5 years of experience in the financial services industry. Peter is registered to provide investment advice in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Peter holds Series 7, 86, 87 and 63 licenses, as well as the SIE exam. Peter specializes in portfolio management for individuals and businesses, financial planning and pension consulting. Prior to joining J.p. Morgan Securities LLC, Peter worked for B. Riley FBR, INC. and B. Riley & Co., LLC.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
CA
07/16/2020 - Present
J.p. Morgan Securities LLC (SAN FRANCISCO CA)
CA
11/30/2017 - 03/31/2020
B. RILEY FBR, INC. (San Francisco CA)
CA
12/21/2015 - 11/30/2017
B. RILEY & CO., LLC (SAN FRANCISCO CA)
BC
Issued 05/16/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/17/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2016
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 04/14/2016
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/21/2015
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
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MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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