PT
Peter A. Tufts
VICTORY CAPITAL SERVICES
Bonita Springs, FL
Some features on this profile are disabled
CRD#: 2320459
PT
Professional summary
Peter Alvin Tufts JR, CIMA®, who also goes by Peter Alvin Tufts, is a registered financial professional currently at VICTORY CAPITAL SERVICES, INC. located in Bonita Springs, Florida.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1993. Peter has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter Alvin Tufts
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Alvin Tufts JR's 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®
Experience
Current
January 13, 2015 - Present
VICTORY CAPITAL SERVICES, INC.
Office #2: 60 State Street, Boston, MA 02109BD
CRD#: 37059
Bonita Springs, FL
Past
June 24, 2008 - October 31, 2014
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
BOSTON, MA
Past
October 11, 2002 - June 10, 2008
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
BOSTON, MA
Past
July 9, 1997 - October 25, 2002
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
September 24, 1993 - July 7, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/13/2015)
RR
Alaska(1/13/2015)
RR
Arizona(1/13/2015)
RR
Arkansas(1/13/2015)
RR
California(1/13/2015)
RR
Colorado(1/13/2015)
RR
Connecticut(1/13/2015)
RR
Delaware(1/13/2015)
RR
District of Columbia(1/13/2015)
RR
Florida(1/13/2015)
RR
Georgia(1/13/2015)
RR
Hawaii(1/13/2015)
RR
Idaho(1/13/2015)
RR
Illinois(1/13/2015)
RR
Indiana(1/13/2015)
RR
Iowa(1/13/2015)
RR
Kansas(1/13/2015)
RR
Kentucky(1/13/2015)
RR
Louisiana(1/13/2015)
RR
Maine(1/13/2015)
RR
Maryland(1/13/2015)
RR
Massachusetts(1/13/2015)
RR
Michigan(1/13/2015)
RR
Minnesota(1/13/2015)
RR
Mississippi(1/13/2015)
RR
Missouri(1/13/2015)
RR
Montana(1/13/2015)
RR
Nebraska(1/13/2015)
RR
Nevada(1/13/2015)
RR
New Hampshire(1/13/2015)
RR
New Jersey(1/13/2015)
RR
New Mexico(1/13/2015)
RR
New York(1/13/2015)
RR
North Carolina(1/13/2015)
RR
North Dakota(1/13/2015)
RR
Ohio(1/13/2015)
RR
Oklahoma(1/13/2015)
RR
Oregon(1/13/2015)
RR
Pennsylvania(1/13/2015)
RR
Puerto Rico(1/13/2015)
RR
Rhode Island(1/13/2015)
RR
South Carolina(1/13/2015)
RR
South Dakota(1/13/2015)
RR
Texas(1/13/2015)
RR
Utah(1/13/2015)
RR
Vermont(1/13/2015)
RR
Virginia(1/13/2015)
RR
Washington(1/13/2015)
RR
West Virginia(1/13/2015)
RR
Wisconsin(1/13/2015)
RR
Wyoming(1/13/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT
CRD#: 37059 / SEC#: , 8-47577
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
