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PETER J ALEXOPOULOS
PETER JOHN ALEXOPOLOUS, PETER JOHN ALEXOPOULOS
CRD#: 2955131
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE MONARCH PLACE
SUITE 1400
SPRINGFIELD, MA 01144
SUITE 1400
SPRINGFIELD, MA 01144
0
Disclosures
27
Years of Experience
View By:
State Registrations
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Arizona 10/24/2008
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Nevada 1/20/2021
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California 10/24/2008
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New Hampshire 10/24/2008
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Colorado 9/21/2016
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New Jersey 10/24/2008
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Connecticut 10/24/2008
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New York 10/24/2008
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Delaware 9/29/2023
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North Carolina 10/24/2008
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District of Columbia 9/10/2014
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Oregon 1/4/2021
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Florida 10/24/2008
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Pennsylvania 10/24/2008
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Georgia 10/24/2008
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Rhode Island 3/7/2016
B
Illinois 8/12/2015
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South Carolina 2/3/2012
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Indiana 10/24/2008
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Tennessee 10/13/2016
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Louisiana 6/21/2019
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Texas 10/24/2008
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Maine 6/21/2019
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Texas 10/24/2008
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Maryland 10/24/2008
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Vermont 6/3/2010
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Massachusetts 10/24/2008
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Virginia 10/24/2008
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Minnesota 7/21/2010
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Washington 5/25/2010
SRO Registrations
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Registered with this firm since 10/24/2008
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Registered with this firm since 10/24/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 11/03/2008 | SPRINGFIELD, MA | |
B | 04/02/2007 - 11/03/2008 | SPRINGFIELD, MA | |
IA | 11/04/2003 - 04/02/2007 | SPRINGFIELD, MA | |
B | 11/04/2003 - 04/02/2007 | SPRINGFIELD, MA | |
IA | 09/04/1998 - 11/05/2003 | WEST HARTFORD, CT | |
B | 11/11/1997 - 11/05/2003 | SMITHFIELD, RI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.