Peter M. Felix
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 Michael Felix, who also goes by Rocky Felix, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 8 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - February 9, 2017
NATIONWIDE SECURITIES, LLC
August 14, 2003 - February 18, 2010
ALLSTATE FINANCIAL SERVICES, LLC
January 31, 2003 - July 14, 2003
LOCUST STREET SECURITIES, INC.
March 23, 1999 - February 9, 2001
LIFEMARK SECURITIES CORP.
February 9, 1994 - February 19, 1999
GROVE POINT INVESTMENTS, LLC
October 19, 1988 - May 4, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 19, 1988 - May 4, 1993
PRUCO SECURITIES, LLC.
December 7, 1981 - October 11, 1988
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
Series 1
Date: 1/15/1974
Registered Representative ExaminationCurrent Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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