NP
Nicholas M. Peiffer
VICTORY CAPITAL MANAGEMENT
Flower Mound, TX 75022
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CRD#: 4672461
NP
Professional summary
Nicholas Matthew Peiffer, AIF®, CIMA® is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in Flower Mound, Texas and VICTORY CAPITAL SERVICES, INC. located in Avon Lake, Ohio.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Nicholas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Vacation/rental property in Wisconsin. We collect income from renters and run this through VRBO. We bought this property in Feb. 2016. I spend about 4 hours per month working with this property. The address is 9451 Northhaven Ct. Unit #23004 Fish Creek WI 54212
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Matthew Peiffer'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®
Experience
Current
September 6, 2018 - Present
VICTORY CAPITAL MANAGEMENT INC.
Office #1: 3104 Creek View Dr., Flower Mound, TX 75022RIA
CRD#: 106189
Flower Mound, TX
Current
September 6, 2018 - Present
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
Avon Lake, OH
Past
October 11, 2016 - August 30, 2018
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
SEATTLE, WA
Past
June 15, 2016 - September 27, 2016
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
BD
CRD#: 329
SEATTLE, WA
Past
August 28, 2007 - August 30, 2018
RUSSELL INVESTMENTS
RIA
CRD#: 105734
MILWAUKEE, WI
Past
October 21, 2005 - June 15, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
MILWAUKEE, WI
Past
August 13, 2003 - February 2, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 13, 2003 - February 2, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Oklahoma(9/6/2018)
RR
Texas(9/6/2018)
IAR
Texas(9/6/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,566 |
| AUM (Assets Under Management) | $ 152,291,202,954 |
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.
