Peter G. Dixon
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 Gregory Dixon was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2008. Peter had worked at 2 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
June 1, 2009 - June 8, 2016
PAINTER, SMITH AND AMBERG INC.
June 1, 2009 - June 8, 2016
PAINTER, SMITH AND AMBERG INC.
May 22, 2008 - May 4, 2009
WELLS FARGO INVESTMENTS, LLC
April 18, 2008 - May 4, 2009
WELLS FARGO INVESTMENTS, 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
PAINTER, SMITH AND AMBERG INC.
CRD#: 10865 / SEC#: 801-112748, 8-27305
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 437 |
| AUM (Assets Under Management) | $ 115,663,682 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/29/2023 |
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.
