Peter S. Taft
Professional summary
Peter Stephen Taft, who also goes by Peter S. Taft, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2007. Peter has worked at 2 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Stephen Taft's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2008 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207June 8, 2007 - June 20, 2022
PKS ADVISORY SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2018)
(10/30/2008)
(3/13/2009)
(10/30/2008)
(1/3/2019)
(10/11/2017)
(8/12/2008)
(2/5/2013)
(4/23/2009)
(10/11/2017)
(1/30/2024)
(7/8/2009)
Exams
FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
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