Ellen B. Peters

ATHENE SECURITIES

West Des Moines, IA 50266

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CRD#: 1853363

Professional summary

Ellen Barbara Peters, who also goes by Ellen B Kosier, Ellen P Kosier, Ellen Kosier, Ellen B Peters, Ellen Barbra Peters, Ellen Peters-kosier, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 1993. Ellen has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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 Ellen Barbara Peters'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®

None

Experience

Current

May 25, 2016 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 36867

West Des Moines, IA

Past

November 10, 2014 - April 29, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 10, 2012 - December 16, 2013

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

June 10, 2011 - January 6, 2012

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

January 1, 2007 - December 31, 2010

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

January 7, 2004 - December 31, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 7, 2004 - January 1, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 11, 2003 - October 10, 2003

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

September 1, 1998 - July 1, 2002

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

February 1, 1995 - March 12, 1998

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 5, 1993 - February 1, 1995

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

State Registrations and Notice Filings

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

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

California
(5/25/2016)

Exams

State Security Law Exam

Series 63

Date: 3/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/31/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ATHENE USA CORPORATION	ATHENE SECURITIES, LLC
BATTERSON, CHAD M	PRESIDENT, COO, FINOP	4880009
BURTON, SHEILA SUE	CHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT III	VICE PRESIDENT	4605388
HUNT, ANGELA JEAN	COMPLIANCE OFFICER	7192588

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ellen B. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ellen Barbara Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

AMUNDI DISTRIBUTOR US, INC.

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

DWS DISTRIBUTORS, INC.

KEMPER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/2/1994

Series 6

Date: 12/31/1992

FINRA

Current Firm

ATHENE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ATHENE SECURITIES, LLC

TRUST BUT VERIFY

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