Peggy M. Kahn
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.
Peggy Marie Kahn was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 2014. Peggy had worked at 6 firms and has passed the Series 65, Series 63, 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
May 29, 2018 - June 17, 2020
DOWLING & YAHNKE, LLC
March 5, 2018 - April 13, 2018
HIGHTOWER ADVISORS, LLC
March 2, 2018 - April 13, 2018
HIGHTOWER SECURITIES, LLC
November 1, 2017 - April 10, 2018
CETERA WEALTH SERVICES, LLC
May 20, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
January 1, 2014 - April 2, 2018
UNITED CAPITAL FINANCIAL ADVISORS
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
DOWLING & YAHNKE, LLC
CRD#: 107672 / SEC#: 801-29274
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,834 |
| AUM (Assets Under Management) | $ 6,113,330,197 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2022 |
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.
