Individual Firm
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WILLIAM VERNON PETERMAN
CRD#: 4200779
IA
B
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 11440 JOG ROAD
PALM BEACH GARDENS, FL 33418
PALM BEACH GARDENS, FL 33418
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9/22/2008
Customer Dispute
Denied
State Registrations
B
Arizona 11/18/2020
B
Kansas 8/18/2020
B
California 11/23/2020
B
Maryland 1/24/2017
B
Colorado 11/22/2021
B
Missouri 12/16/2016
B
District of Columbia 10/4/2023
B
New Jersey 3/29/2022
B
Florida 12/16/2016
B
North Carolina 1/25/2017
B
Georgia 1/3/2023
B
Pennsylvania 12/16/2016
B
Illinois 12/16/2016
B
South Carolina 1/19/2017
IA
Illinois 12/19/2016
B
Texas 1/19/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/16/2016
B
Registered with this firm since 12/16/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/31/2014 - 12/22/2016 | SPRINGFIELD, IL | |
IA | 01/31/2014 - 12/19/2016 | SPRINGFIELD, IL | |
IA | 08/28/2000 - 01/31/2014 | SPRINGFIELD, IL | |
B | 06/13/2000 - 01/31/2014 | SPRINGFIELD, IL |
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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.