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PL

Peter J. London

Some features on this profile are disabled
CRD#: 4735468
PL

Professional summary

Peter J London was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Peter had worked at 5 firms, which includes ELEVATION LLC, HALLMARK INVESTMENTS INC., GUNNALLEN FINANCIAL INC, AMERICAN CAPITAL PARTNERS LLC, FIRST MONTAUK SECURITIES CORP..

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 25, 2011 - November 29, 2011

ELEVATION, LLC

BD
CRD#: 140341
NEW YORK, NY
Past

January 5, 2011 - January 6, 2011

ELEVATION, LLC

BD
CRD#: 140341
NEW YORK, NY
Past

June 21, 2007 - February 4, 2011

HALLMARK INVESTMENTS, INC.

BD
CRD#: 135003
NEW CITY, NY
Past

September 1, 2006 - June 28, 2007

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
MELVILLE, NY
Past

August 29, 2006 - June 28, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
MELVILLE, NY
Past

August 9, 2005 - September 20, 2006

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

August 12, 2004 - September 7, 2005

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/25/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2004
General Securities Representative Examination

Current Firm

EL
ELEVATION, LLC
ELEVATION SECURITIES | ELEVATION, LLC

CRD#: 140341 / SEC#: , 8-67306

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211
Mailing Address
6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211
Phone number
(704) 926-1100
Established
North Carolina since 12/27/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHEEHAN, PATRICK JAMESMANAGING MEMBER2053134
SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUSTPASSIVE INVESTOR
BARTON ASSET MANAGEMENT, LLCPASSIVE INVESTOR
CARTER III, WARREN SMOOTPARTNER6751824
HARRIS, MATTHEW CARTERTRUSTEE6178227
LUCAS, CLAIRE TOURNEPASSIVE INVESTOR
LUCAS, HAINES DEMARESTPASSIVE INVESTOR
LUCAS, JOSIAH CHARLES TRENTTRUSTEE6178218
MEUNIER, CHRISTOPHER JABOAFINOP7407392
PEAK6 INVESTMENTS, L.P.PASSIVE INVESTOR
PETERSON, KELSEY CARL IIIREGISTERED OPTIONS PRINCIPAL6684459
SHEEHAN, JOHN MICHAEL BYRNEPARTNER, CEO2272269
SILVER, SCOTT MICHAELCHIEF COMPLIANCE OFFICER - CCO2290261

Disclosures

Regulatory Event7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ELEVATION, LLC

CRD#: 140341

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