Brent Peck is a registered investment advisor, based in Broadway, OK, with 23 years of industry experience.
Location
6821 N. Broadway, Broadway, OK, 73034
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Regulatory History (3)
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Judgment / Lien
February 2020Customer Dispute
March 2010Settled
Customer Dispute
August 2009Settled
Other Business ActivitiesSells Insurance
Brent is an advisory representative of a RIA, spending about 10-20% of his time on investment-related activities and trading. He also owns Four Leaf Wine and Spirits and works as an independent insurance agent for various companies, dedicating about half of his time to insurance-related activities.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
October 2019 - Present · 6 yrs 9 mos
Cambridge Investment Research, INC.Broker
October 2019 - Present · 6 yrs 9 mos
Previous Registrations
Fsc Securities Corporation
November 2013 - October 2019 · 5 yrs 11 mos
Fsc Securities CorporationBroker
November 2013 - October 2019 · 5 yrs 11 mos
Independent Financial Group, LLC
March 2012 - November 2013 · 1 yr 8 mos
Independent Financial Group, LLCBroker
February 2012 - November 2013 · 1 yr 9 mos
Bosc, INC.
January 2008 - January 2012 · 4 yrs
Bosc, INC.Broker
January 2008 - January 2012 · 4 yrs
Uvest Financial Services Group, INC.
February 2007 - December 2007 · 10 mos
Uvest Financial Services Group, INC.Broker
February 2007 - December 2007 · 10 mos
Chase Investment Services CORP.
August 2005 - February 2007 · 1 yr 6 mos
Chase Investment Services CORP.Broker
August 2005 - February 2007 · 1 yr 6 mos
Merrill Lynch Pierce Fenner & Smith INC.
May 2004 - August 2005 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2004 - August 2005 · 1 yr 3 mos
Banc One Securities CorporationBroker
February 2004 - May 2004 · 3 mos
Banc One Securities Corporation
January 2004 - May 2004 · 4 mos
Morgan Stanley
November 2001 - July 2002 · 8 mos
Morgan Stanley Dw INC.Broker
April 2001 - July 2002 · 1 yr 3 mos
State Registrations7 states
AZFLKSMOOKTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.