Peter Efstathakis

THURSTON, SPRINGER, MILLER, HERD & TITAK

INDIANAPOLIS, IN 46240

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CRD#: 2844224

Professional summary

Peter Efstathakis, who also goes by Peter Elliot, is a registered financial professional currently at THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Indianapolis, Indiana and JVM SECURITIES, LLC located in Oak Brook, Illinois.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1999. Peter has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Aliases

Peter Elliot

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) - BD

Click below to view Peter Efstathakis'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

July 23, 2024 - Present

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

Office #1: 9000 Keystone Crossing Suite 700, Indianapolis, IN 46240

CRD#: 8478

INDIANAPOLIS, IN

Current

September 26, 2024 - Present

JVM SECURITIES, LLC

Office #1: 903 Commerce Drive, Suite 250, Oak Brook, IL 60523

CRD#: 290327

OAK BROOK, IL

Current

July 14, 2026 - Present

IBN FINANCIAL SERVICES, INC.

Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088

RIA

CRD#: 42360

LIVERPOOL, NY

Past

February 5, 2024 - May 6, 2024

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

FORT LAUDERDALE, FL

Past

September 22, 2021 - July 28, 2022

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

September 27, 2017 - September 26, 2019

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

August 29, 2016 - April 24, 2017

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

November 7, 2014 - April 28, 2016

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

July 22, 2013 - November 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

December 5, 2012 - February 26, 2013

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

February 21, 2012 - March 13, 2012

TRADESTATION SECURITIES, INC.

CRD#: 39473

PLANTATION, FL

Past

July 8, 2011 - November 15, 2011

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

July 8, 2011 - November 15, 2011

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

BOCA RATON, FL

Past

September 11, 2009 - July 6, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BOYNTON BEACH, FL

Past

October 16, 2006 - June 19, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

FT. LAUDERDALE, FL

Past

January 2, 2001 - October 10, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 10, 2000 - August 22, 2000

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

Past

January 13, 1999 - November 17, 1999

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

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".

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

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

Florida
(9/26/2024)

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: 1/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/1/2026

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/17/2026

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

404 Old Liverpool Rd, Liverpool, NY 13088

Mailing Address

P.o. Box 2365, Liverpool, NY 13089

Phone number

(315) 652-4426

Established

New York since 12/15/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RICHARD J CARLESCO JR (3/21/2025)

IBN FN PART 2A BROCHURE (3/21/2025)

CHRIS AVERY FORM 2B (3/21/2025)

FRED KAHN FORM 2B (3/21/2025)

MARK LEVITCH FORM 2B (3/21/2025)

SUSAN LOHMILLER FORM 2B (3/21/2025)

PATRICK DELANEY FORM 2B (3/21/2025)

RALPH PLINE FORM 2B (3/21/2025)

DANIEL RIPLEY ADV PART 2B (3/21/2025)

DEAN MACRIS FORM 2B (3/21/2025)

SAMUEL BIANCHI FORM 2B (3/21/2025)

ELLIOT SCHRAG FORM 2B (3/21/2025)

HARJIT ARORA PHD FORM 2B (3/21/2025)

PETER BIFFARELLA FORM 2B (3/21/2025)

SCOTT CURTIS FORM 2B (3/21/2025)

THERESA LYNN ELLIS FORM 2B (3/21/2025)

TODD GLENN FORM 2B (3/21/2025)

CHAD COLBERT FORM 2B (3/21/2025)

STEVE YAZELL FORM 2B (3/21/2025)

F. WILLIAM LIBARDONI JR. FORM 2B (3/21/2025)

ERIK LENTINEN FORM 2B (3/21/2025)

JOHN MAHSHIE FORM 2B (3/21/2025)

R STEVENS FORM 2B (3/21/2025)

HOWARD MODELL- FORM 2B BROCHURE (3/21/2025)

LOREN WOOD FORM 2B- BROCHURE (3/21/2025)

ROBERT D'AGOSTA FORM 2B- BROCHURE (3/21/2025)

ANDREW CAMARDA- FORM 2B BROCHURE (3/21/2025)

KRISTINA SINITSIN FORM 2B- BROCHURE (3/21/2025)

ROBERT TACKABURY FORM 2B- BROCHURE (3/21/2025)

ROBERT STAR FORM 2B- BROCHURE (3/21/2025)

ROBERT MOSKWA FORM 2B (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLESCO, RICHARD JAMES JR	CHIEF EXECUTIVE OFFICER, CHEIF FINANCIAL OFFICER	2135988
AVERY, CHRISTOPHER RYAN	CHIEF OPERATIONS OFFICER	4706653
EVANS, TIMOTHY EDWARD	EQUITY PARTNER	6259284
BODKIN, GREGORY PATRICK	CHIEF COMPLIANCE OFFICER	3008389

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 180,458,175

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Peter Efstathakis

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

JVM SECURITIES, LLC

IBN FINANCIAL SERVICES, INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

T3 TRADING GROUP, LLC

T3 TRADING GROUP, LLC

T3 TRADING GROUP, LLC

T3 TRADING GROUP, LLC

WTS PROPRIETARY TRADING GROUP LLC

WTS PROPRIETARY TRADING GROUP LLC

TRADESTATION SECURITIES, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CHASE INVESTMENT SERVICES CORP.

E*TRADE SECURITIES LLC

UBS FINANCIAL SERVICES INC.

TRADE.COM ONLINE SECURITIES, INC.

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

IBN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/28/1998

Series 10

Date: 4/1/2026

Series 9

Date: 2/17/2026

Series 24

Date: 8/5/2024

FINRA

Current Firm

IBN FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

IBN FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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