Peter E. Tarnow

LINCOLN DOUGLAS INVESTMENTS

Mt. Vernon, OH 43050

Some features on this profile are disabled

CRD#: 4077307

Professional summary

Peter E Tarnow is a registered financial professional currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Mt. Vernon, Ohio.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2000. Peter has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Peter E Tarnow'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

June 24, 2020 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050

RIA

CRD#: 155578

Mt. Vernon, OH

Past

December 11, 2000 - October 7, 2019

NATIONWIDE SECURITIES, LLC

CRD#: 11173

CICERO, NY

Past

June 28, 2000 - September 13, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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
(8/23/2021)

New York
(6/24/2020)

Exams

State Security Law Exam

Series 63

Date: 3/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/27/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578 / SEC#: 801-72438, 8-68728

RIA

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/20/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (11/15/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1051 Newark Rd, Mount Vernon, OH 43050

Mailing Address

1051 Newark Rd, Mt. Vernon, OH 43050

Phone number

(740) 397-1397

Established

Ohio since 09/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
DENNIS, KENNETH EARL	CEO	2297497
MANSFIELD, DOUGLAS MARR	GENERAL COUNSEL, CORPORATE SECRETARY
BULLOCK, BRANDON LEE	CFO, FINOP	4617848
MOHNEY, BRIAN EUGENE	CHIEF COMPLIANCE OFFICER / AMLCO	2890043

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 97,644,384

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.

Similar Advisors

Alan Rubenfeld

DWS DISTRIBUTORS, INC.

New York, NY

Andrew Katzenberger

KATZ CAPITAL ADVISORS

IAR

CALDWELL, ID

Benjamin Silberman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Palm Beach Gardens, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter E. Tarnow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

LINCOLN DOUGLAS INVESTMENTS, LLC

NATIONWIDE SECURITIES, LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/2000

SIE

Date: 10/1/2018

Series 6

Date: 6/27/2000

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

LINCOLN DOUGLAS INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors