Peter D. Todd
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 Driggs Todd was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2010 - October 28, 2013
SOURCE CAPITAL GROUP, INC.
April 24, 2007 - January 11, 2010
KEEFE, BRUYETTE & WOODS, INC.
April 19, 2005 - June 2, 2006
SAPENO INC.
January 9, 2003 - July 17, 2003
COMMERZ MARKETS LLC
February 1, 2002 - January 6, 2003
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
July 5, 2001 - February 1, 2002
COMMERZ MARKETS LLC
April 1, 1996 - December 21, 2000
J.P. MORGAN SECURITIES INC.
May 31, 1994 - April 1, 1996
CHASE SECURITIES, INC.
August 18, 1992 - May 11, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1988 - August 12, 1992
CITICORP SECURITIES, INC.
May 22, 1985 - November 6, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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