Peter C. Nicholson
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 Charles Nicholson, who also goes by Peter C Nicholson, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2007. Peter had worked at 3 firms and has passed the Series 66, Series 63 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
February 14, 2012 - May 9, 2012
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 23, 2012
CHARLES SCHWAB & CO., INC.
September 17, 2008 - December 31, 2011
CHARLES SCHWAB & CO., INC.
July 18, 2008 - May 9, 2012
CHARLES SCHWAB & CO., INC.
September 21, 2007 - July 7, 2008
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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