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PN

Peter Nicolas

EXCHANGERIGHT SECURITIES
Pasadena, CA 91106
Some features on this profile are disabled
CRD#: 1258977
PN
Peter NicolasEXCHANGERIGHT SECURITIES

Professional summary

Peter Nicolas, CFA is a registered financial professional currently at EXCHANGERIGHT SECURITIES, LLC located in Pasadena, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1984. Peter has worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

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 Nicolas'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®
CFA

Chartered Financial Analyst

Experience

Current

September 15, 2026 - Present

EXCHANGERIGHT SECURITIES, LLC

Office #1: 1055 E. Colorado Blvd, Suite 3130, Pasadena, CA 91106
BD
CRD#: 283430
Pasadena, CA
Past

March 12, 2024 - August 6, 2024

PEACHTREE PC INVESTORS, LLC

BD
CRD#: 301004
ATLANTA, GA
Past

December 18, 2018 - March 18, 2024

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
NEW YORK, NY
Past

June 18, 2015 - November 21, 2016

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
Reno, NV
Past

July 28, 1997 - July 24, 2007

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

March 22, 1995 - August 6, 1996

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

December 15, 1993 - March 16, 1995

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

February 25, 1992 - March 15, 1995

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

March 18, 1986 - June 19, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

April 27, 1984 - May 9, 1985

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

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

RR
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

RR
California
(9/15/2026)
RR
Connecticut
(9/17/2026)
RR
Maine
(9/15/2026)
RR
Massachusetts
(9/16/2026)
RR
New Hampshire
(9/17/2026)
RR
Rhode Island
(9/16/2026)
RR
Vermont
(9/18/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 9/4/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 12/18/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 11/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 6/18/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EXCHANGERIGHT SECURITIES, LLC
EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430 / SEC#: , 8-69753

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Phone number
(626) 564-1031
Established
California since 01/06/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EXCHANGERIGHT HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER, MANAGING MEMBER5327906
THOMAS, WARREN JESSE MCEWINPRESIDENT, MANAGING MEMBER2299254
THORNTON, STEVEN LEEFINOP4496384
UNGERECHT, JOSHUA PAULCEO, MANAGING MEMBER5183573

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.

Company Information

EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430Pasadena, CA 91106

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