Peter M. Anderson
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 Mahoney Anderson, who also goes by Peter M Anderson III, Peter M Anderson, Peter Mahoney Anderson III, Peter M Anderson Iii, Peter Mahoney Anderson Iii, Peter Mahoney Anderson,iii, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2003. Peter had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2021 - September 7, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 8, 2021 - September 7, 2023
FIDELITY BROKERAGE SERVICES LLC
October 18, 2018 - November 5, 2021
NATIONWIDE INVESTMENT ADVISORS, LLC
October 18, 2018 - November 5, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 27, 2018 - October 16, 2018
TD AMERITRADE, INC.
February 26, 2018 - October 16, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - October 16, 2018
TD AMERITRADE, INC.
April 14, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 13, 2017 - February 26, 2018
SCOTTRADE, INC.
October 24, 2013 - March 28, 2017
BANCWEST INVESTMENT SERVICES, INC.
October 24, 2013 - March 28, 2017
BANCWEST INVESTMENT SERVICES, INC.
February 25, 2011 - November 5, 2013
HARRISDIRECT LLC
February 25, 2011 - November 5, 2013
E*TRADE SECURITIES LLC
November 30, 2010 - March 2, 2011
MSI FINANCIAL SERVICES, INC.
August 16, 2010 - March 2, 2011
MSI FINANCIAL SERVICES, INC.
December 5, 2008 - May 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 2008 - May 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2003 - June 12, 2008
E*TRADE SECURITIES LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
