Peter J. Ziffer
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 John Ziffer was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 1 firm 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
June 20, 1989 - March 23, 1998
TODD AND COMPANY, 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
TODD AND COMPANY, INC.
CRD#: 5651 / SEC#: , 8-16328
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STARINVEST GROUP, INC. | OWNER | |
| ELLISON, WAYNE ARTHUR | CCO | 1454652 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
