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EMMETT CHARLES PECK JR
CRD#: 3052579
IA
Investment Adviser
B
Broker
PROSPERITY FINANCIAL GROUP, INC.CRD#: 145540 2333 San Ramon Valley Blvd.
Suite 200
San Ramon, CA 94583
FORTUNE FINANCIAL SERVICES, INC.CRD#: 42150 2333 San Ramon Valley Blvd Suite 200
San Ramon, CA 94583
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1999 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BWAMU INVESTMENTS, INC. (CRD# 599)1999 - 2009 (10 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2006 - 2009 (3 years)
Disclosure(s)
View By:
7/12/2016
Employment Separation After Allegations
12/3/2008
Customer Dispute
Denied
4/29/2003
Customer Dispute
Denied
License(s)

State Registrations

IA
California 8/8/2016

B
New Mexico 1/6/2023

B
California 8/17/2016

B
Oregon 1/6/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROSPERITY FINANCIAL GROUP, INC. (CRD#:145540)
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Registered with this firm since 8/8/2016

B
FORTUNE FINANCIAL SERVICES, INC. (CRD#:42150)
2333 San Ramon Valley Blvd Suite 200, San Ramon, CA 94583
Registered with this firm since 8/17/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/01/2012 - 08/02/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) BERKELEY, CA
B
10/01/2012 - 08/02/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) BERKELEY, CA
IA
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) OAKLAND, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) OAKLAND, CA
IA
02/09/2006 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) BERKELEY, CA
B
02/04/1999 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) BERKELEY, CA
B
07/17/1998 - 01/07/1999 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
07/17/1998 - 01/07/1999 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
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.