Peter M. Elish
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 Mark Elish, who also goes by Peter M Elish, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2013 - December 31, 2014
THOMAS M. NIXON & ASSOCIATES, INC.
December 7, 1989 - October 14, 2017
DOO FINANCIAL US, INC.
June 18, 1989 - June 28, 1989
SUNAMERICA SECURITIES, INC.
April 13, 1989 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
November 30, 1987 - May 2, 1989
LEHMAN BROTHERS INC.
October 26, 1984 - December 11, 1987
FINANCIAL ESTATE PLANNING, 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
THOMAS M. NIXON & ASSOCIATES, INC.
CRD#: 17047 / SEC#: , 8-34954
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NIXON, THOMAS MARION | PRESIDENT, CEO, CCO, PRINCIPAL | 833930 |
Disclosures
| Regulatory Event | 3 |
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.
