Peter J. Conlon
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 Joseph Conlon was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 9 firms and has passed the Series 63, SIE 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
February 2, 2022 - June 6, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 21, 2020 - January 4, 2022
SAYBRUS EQUITY SERVICES, LLC
September 16, 2019 - March 2, 2020
ALLSTATE FINANCIAL SERVICES, LLC
November 9, 2017 - May 3, 2019
ALLSTATE FINANCIAL SERVICES, LLC
October 30, 2013 - September 14, 2017
TRANSAMERICA CAPITAL, LLC
August 16, 2011 - October 29, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 21, 2010 - July 22, 2011
MML INVESTORS SERVICES, LLC
November 9, 1999 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
December 2, 1997 - May 25, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 10, 1994 - October 27, 1997
CAPITAL CLIENT GROUP, INC.
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
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
