Elliott A. Peigen

INFINITY FINANCIAL SERVICES ADVISORY

Ooltewah, TN

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CRD#: 2017355

Professional summary

Elliott Arthur Peigen is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in Ooltewah, Tennessee and INFINITY FINANCIAL SERVICES located in Ooltewah, Tennessee.

Elliott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Elliott has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Independent Insurance Agent. Investment-related. 6484 Hideaway Rd., Ooltewah, TN 37363. Sales of Fixed Annuities and Life Insurance. No variable insurance products or securities sold. Agent. Start Date: 1990. 1-2 hours per month. During securities trading hours: minimal, but in accordance with perceived financial need. Selling Fixed Annuities and Life Insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elliott Arthur Peigen'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

April 29, 2020 - Present

INFINITY FINANCIAL SERVICES ADVISORY

RIA

CRD#: 304981

Ooltewah, TN

Current

July 5, 2016 - Present

INFINITY FINANCIAL SERVICES

CRD#: 144302

Ooltewah, TN

Past

July 6, 2016 - December 31, 2020

INFINITY FINANCIAL SERVICES

RIA

CRD#: 144302

OAKLAND, CA

Past

March 9, 2015 - July 23, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

OOLTEWAH, TN

Past

February 26, 2015 - July 23, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

OOLTEWAH, TN

Past

August 9, 2006 - December 3, 2014

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

FORT OGLETHORPE, GA

Past

June 17, 2005 - December 3, 2014

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

FORT OGLETHORPE, GA

Past

March 19, 2004 - June 17, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 11, 2002 - March 10, 2004

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

December 16, 1994 - August 7, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 5, 1990 - December 13, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 25, 1990 - July 5, 1990

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

January 8, 1990 - March 21, 1990

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

December 20, 1989 - December 20, 1989

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981 / SEC#: 801-117719

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(8/11/2021)

Florida
(11/19/2019)

Georgia
(11/28/2016)

Tennessee
(7/5/2016)

IAR

Tennessee
(4/29/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/1/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/19/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/1990

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: 12/16/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981 / SEC#: 801-117719

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

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Contact information

Main Address

212 9th Street Suite 202, Oakland, CA 94607

Mailing Address

Phone number

(510) 588-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

ADV 2A APPENDIX WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	918
AUM (Assets Under Management)	$ 150,097,662

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.

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Firm Stability Insights

Elliott A. Peigen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elliott Arthur Peigen's CRS (Customer Relationship Summary).

Certified licenses

Experience

INFINITY FINANCIAL SERVICES

INFINITY FINANCIAL SERVICES

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

OSAIC FS, INC.

FIRST HORIZON ADVISORS, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OSAIC FS, INC.

PLANNED INVESTMENTS INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INFINITY FINANCIAL SERVICES ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2006

Series 65

Date: 5/19/1994

Series 63

Date: 1/11/1990

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1989

FINRA

Current Firm

INFINITY FINANCIAL SERVICES ADVISORY

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INFINITY FINANCIAL SERVICES ADVISORY

TRUST BUT VERIFY

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