Peter E Tarnow
Professional Summary
Peter E Tarnow is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LINCOLN DOUGLAS INVESTMENTS, LLC
Contact Information
Main Address
1051 Newark Rd, Mount Vernon, OH 43050Mailing Address
1051 Newark Rd, Mt. Vernon, OH 43050Phone Number
(740) 397-1397Established
Ohio since 09/15/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
27SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
FINRA licenses (42 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
246AUM (Assets Under Management)
$130,549,335Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LINCOLN DOUGLAS INVESTMENTS, LLC
State Registrations and Notice Filings
(8/23/2021)
(6/24/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2000About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peter E Tarnow's CRS (Customer Relationship Summary).
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