Peter Weiss
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Weiss was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2013 - July 15, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 21, 2013 - July 15, 2013
TD AMERITRADE, INC.
February 21, 2013 - July 15, 2013
TD AMERITRADE, INC.
January 3, 2011 - July 9, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 18, 2010 - July 9, 2012
TD AMERITRADE, INC.
January 13, 2010 - July 9, 2012
TD AMERITRADE, INC.
April 25, 2006 - February 4, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 2, 2003 - February 4, 2008
TD AMERITRADE, INC.
February 27, 2003 - February 4, 2008
TD AMERITRADE, INC.
November 25, 1998 - December 31, 2002
CHARLES SCHWAB & CO., INC.
March 6, 1997 - October 19, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
