Peter E. Light
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 Eliot Light, who also goes by Peter Eliot Light Jr., was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2003. Peter had worked at 8 firms and has passed the Series 66, 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 18, 2015 - June 29, 2017
FLAGSHIP HARBOR ADVISORS, LLC
December 14, 2015 - July 27, 2017
LPL FINANCIAL LLC
January 10, 2012 - December 22, 2015
RBC CAPITAL MARKETS, LLC
January 10, 2012 - December 18, 2015
RBC CAPITAL MARKETS, LLC
September 28, 2009 - January 13, 2012
RAYMOND JAMES & ASSOCIATES, INC.
September 28, 2009 - January 13, 2012
RAYMOND JAMES & ASSOCIATES, INC.
January 29, 2007 - September 30, 2009
EDWARD JONES
January 29, 2007 - September 30, 2009
EDWARD JONES
March 30, 2006 - January 29, 2007
VALMARK ADVISERS, INC.
March 17, 2006 - January 29, 2007
VALMARK SECURITIES, INC.
June 11, 2003 - March 27, 2006
A. G. EDWARDS & SONS, INC.
May 16, 2003 - March 27, 2006
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733 / SEC#: 801-71997
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
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733 / SEC#: 801-71997
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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.
