Peter N. Gottstein
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 Nathaniel Gottstein was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2017 - February 27, 2020
ALERA INVESTMENT ADVISORS, LLC
November 2, 2017 - February 26, 2020
TRIAD ADVISORS LLC
May 29, 2001 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
March 30, 1992 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906 / SEC#: 801-111892
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 2
Date: 9/9/1993
Non-Member General Securities ExaminationCurrent Firm
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906 / SEC#: 801-111892
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
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