Peter J. Mackintosh

MARTIN NELSON & CO.

Seattle, WA 98109

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CRD#: 1061666

Professional summary

Peter James Mackintosh is a registered financial professional currently at MARTIN NELSON & CO., INC. located in Seattle, Washington.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 7TO, SIE, PC, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter James Mackintosh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 1, 2006 - Present

MARTIN NELSON & CO., INC.

Office #1: 1500 Westlake Ave N # 200, Seattle, WA 98109Office #2: 1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

RIA

CRD#: 2903

Seattle, WA

Past

February 25, 2004 - January 30, 2006

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254

PORTLAND, OR

Past

May 23, 2001 - January 29, 2004

BONDHUB, INC.

CRD#: 104040

SEATTLE, WA

Past

October 30, 2000 - June 21, 2001

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

March 2, 1998 - November 16, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 8, 1996 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

August 15, 1994 - January 5, 1996

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

JERSEY CITY, NJ

Past

February 27, 1989 - September 9, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 8, 1982 - March 4, 1989

FOSTER & MARSHALL INC.

CRD#: 321

SEATTLE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARTIN NELSON & CO., INC.

CRD#: 2903 / SEC#: 801-123009, 8-831

RIA

Registered Investment Advisory firm - SEC (1/11/2022 Approved)

Oregon

Registered Investment Advisory firm - SEC (11/24/2020 Terminated)

Washington

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/30/2025)

Washington
(2/1/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 5/5/1989

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 8/16/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/24/2002

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARTIN NELSON & CO., INC.

CRD#: 2903 / SEC#: 801-123009, 8-831

RIA

Registered Investment Advisory firm - SEC (1/11/2022 Approved)

Oregon

Registered Investment Advisory firm - SEC (11/24/2020 Terminated)

Washington

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

Mailing Address

1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031

Phone number

(206) 682-6261

Established

Washington since 04/01/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2 2025 (2/4/2025)

Direct owners and executive officers

Name	Position	CRD#
NELSON, MARTIN OLIVER JR	PRESIDENT/CCO	346215
KOENIG, SABINE ERIKA REGINA	SECRETARY/TREASURER	3257471
MACARTNEY, SCOTT THOMAS	VICE PRESIDENT	7445713
NELSON, VICKI ANN	DIRECTOR	3203773
ROEBKE, FREDERIC LOUIS	VICE PRESIDENT	3257470

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 260,010,706

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Peter J. Mackintosh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter James Mackintosh's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

BONDHUB, INC.

QUEST CAPITAL STRATEGIES, INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

R.W. SMITH & ASSOCIATES, LLC

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

Primary Firm SEC Registration

MARTIN NELSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1996

Series 63

Date: 4/17/1989

Series 52TO

Date: 9/25/2025

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 5/5/1989

Series 7

Date: 8/16/1975

Series 53

Date: 7/24/2002

FINRA

Current Firm

MARTIN NELSON & CO., INC.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (18 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MARTIN NELSON & CO., INC.

TRUST BUT VERIFY

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