Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Klein is a financial advisor who has been working in the industry since 2004. Peter is currently registered with Mizuho Securities USA LLC and has previously worked with RBS Securities Inc., RBS Securities Corporation and ABN AMRO Incorporated. Peter has a Series 7, Series 24, Series 63, Series 79TO and SIE. Peter is registered in all states except for Iowa.
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
NY
04/21/2015 - Present
Mizuho Securities USA LLC (NEW YORK NY)
CT
12/12/2008 - 04/16/2015
RBS SECURITIES INC. (STAMFORD CT)
NY
08/21/2008 - 12/12/2008
RBS SECURITIES CORPORATION (NEW YORK NY)
NY
10/20/2004 - 08/08/2008
ABN AMRO INCORPORATED (NEW YORK NY)
BC
Issued 12/14/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/16/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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