Peter Xenakis
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 Xenakis, who also goes by Peter John Xenakis, Peter Xenakis, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2011 - September 27, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2011 - September 27, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2011 - September 12, 2011
WORLD GROUP SECURITIES, INC.
July 17, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
October 24, 2005 - December 18, 2006
CETERA FINANCIAL SPECIALISTS LLC
May 19, 2005 - October 24, 2005
C. J. M. PLANNING CORP.
July 10, 2003 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 10, 2003 - October 30, 2003
WALNUT STREET SECURITIES, INC.
July 10, 2003 - October 30, 2003
NEW ENGLAND SECURITIES
February 12, 2003 - October 30, 2003
METROPOLITAN LIFE INSURANCE COMPANY
February 12, 2003 - October 30, 2003
MSI FINANCIAL SERVICES, INC.
February 8, 2000 - May 16, 2001
HARRISDIRECT LLC
July 16, 1998 - December 7, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 6, 1997 - September 23, 1998
J.P. TURNER & COMPANY, L.L.C.
October 16, 1997 - November 5, 1997
J.W. BARCLAY & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
