PS
Peter L. Svach
ADVISORS ASSET MANAGEMENT
New York, NY 10170
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CRD#: 3131591
PS
Professional summary
Peter Lloyd Svach, who also goes by Peter L Svach, Peter Svach, is a registered financial professional currently at ADVISORS ASSET MANAGEMENT, INC. located in New York, New York.
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 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter L Svach | Peter Svach
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 Lloyd Svach'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®
NoneExperience
Current
January 6, 2026 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 420 Lexington Avenue, Suite 1705, New York, NY 10170RIA
BD
CRD#: 46727
New York, NY
Past
February 13, 2025 - January 6, 2026
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Chicago, IL
Past
August 25, 2023 - January 10, 2025
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
January 3, 2022 - September 13, 2023
ICAPITAL SECURITIES, LLC
BD
CRD#: 171061
NEW YORK, NY
Past
July 16, 2020 - November 29, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
Shelton, CT
Past
January 15, 2016 - June 29, 2020
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
October 8, 2009 - December 8, 2015
REALTY CAPITAL SECURITIES, LLC
BD
CRD#: 145454
NEW YORK CITY, NY
Past
March 23, 2007 - October 14, 2009
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
August 16, 2006 - March 21, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
OAKBROOK TERRACE, IL
Past
September 20, 2005 - July 21, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
OAKBROOK TERRACE, IL
Past
May 19, 2005 - July 27, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 19, 2005 - July 27, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 17, 1999 - December 5, 2003
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
February 12, 1999 - September 28, 1999
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Illinois(1/6/2026)
RR
Iowa(1/6/2026)
RR
Minnesota(1/6/2026)
RR
Missouri(1/6/2026)
RR
Nebraska(1/6/2026)
RR
North Dakota(1/6/2026)
RR
South Dakota(1/6/2026)
RR
Texas(1/6/2026)
RR
Wisconsin(1/6/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 4/26/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (49 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| 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.
