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Peter Michael Panagiotou

CRD# 2233079·Registered 1992 - 2003
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter Michael Panagiotou, who also goes by Pete Panagiotou, was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1992 - 2003. Peter had worked at 9 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Pete Panagiotou

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

34 years in the financial services industry

Current & Past Employments

IFMG SECURITIES, INC.·CRD# 14416
BD
Purchase, NY
September 12, 2002 - April 24, 2003
QUICK & REILLY, INC.·CRD# 11217
BD
New York, NY
February 28, 2002 - September 17, 2002
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Lynnfield, MA
January 28, 2002 - February 28, 2002
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
March 28, 2000 - February 27, 2002
FISCO EQUITY, INC.·CRD# 24067
BD
Lincoln, RI
December 22, 1997 - March 24, 2000
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Lynnfield, MA
September 21, 1994 - December 31, 1997
LEGEND EQUITIES CORPORATION·CRD# 30999
BD
Palm Beach Gardens, FL
January 1, 1994 - September 20, 1994
LEGEND CAPITAL CORPORATION·CRD# 4149
BD
Palm Beach Gardens, FL
June 10, 1993 - January 1, 1994
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
New York, NY
June 2, 1992 - April 23, 1993
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Springfield, MA
June 2, 1992 - April 23, 1993

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Current Firm

IS
IFMG SECURITIES, INC.

IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: 8-30670
BD
Terminated by SEC on 11/09/2008

Contact Information

Established

Delaware since 05/03/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY—
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event

5

Arbitration

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1992About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Sep 2000About the Series 24 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Jan 1995About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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