Peter H. Finkel

ELIOT FINKEL INVESTMENT COUNSEL

Beverly Hills, CA 90212

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CRD#: 2840047

Professional summary

Peter Heller Finkel is a registered financial advisor currently at ELIOT FINKEL INVESTMENT COUNSEL, LLC located in Beverly Hills, California.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Peter has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Heller Finkel's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 4, 2020 - Present

ELIOT FINKEL INVESTMENT COUNSEL, LLC

Office #1: 9401 Wilshire Boulevard Suite 830, Beverly Hills, CA 90212Office #2: 37 Vicente Street, San Francisco, CA 94127

RIA

CRD#: 104695

Beverly Hills, CA

Past

January 14, 2002 - April 1, 2003

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

July 20, 2000 - November 1, 2001

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

June 1, 1998 - November 2, 1998

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 29, 1997 - June 1, 1998

JACK WHITE & COMPANY, INC.

CRD#: 7645

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELIOT FINKEL INVESTMENT COUNSEL, LLC

EF INVEST | FINKEL ELIOT MICHELOW | ELIOT FINKEL INVESTMENT COUNSEL, LLP | ELIOT FINKEL INVESTMENT COUNSEL, LLC

CRD#: 104695 / SEC#: 801-10139

RIA

Registered Investment Advisory firm - (8/28/1974 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/4/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/28/1997

General Securities Representative Examination

Current Firm

ELIOT FINKEL INVESTMENT COUNSEL, LLC

EF INVEST | FINKEL ELIOT MICHELOW | ELIOT FINKEL INVESTMENT COUNSEL, LLP | ELIOT FINKEL INVESTMENT COUNSEL, LLC

CRD#: 104695 / SEC#: 801-10139

RIA

Registered Investment Advisory firm - (8/28/1974 Approved)

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Contact information

Main Address

9401 Wilshire Boulevard Suite 830, Beverly Hills, CA 90212

Mailing Address

Phone number

(310) 271-2521

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & B FINKEL (LDI 03.18.25) (3/18/2025)

Regulatory assets under management

Total Number of Accounts	183
AUM (Assets Under Management)	$ 183,715,336

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter H. Finkel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Heller Finkel's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELIOT FINKEL INVESTMENT COUNSEL, LLC

WELLS FARGO SECURITIES, LLC

MAM SECURITIES, LLC

TD AMERITRADE, INC.

JACK WHITE & COMPANY, INC.

Primary Firm SEC Registration

ELIOT FINKEL INVESTMENT COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/18/1997

Series 7

Date: 10/28/1997

Current Firm

ELIOT FINKEL INVESTMENT COUNSEL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELIOT FINKEL INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

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