Mitchell A. Peltier
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.
Mitchell Anthony Peltier, who also goes by Mitch Peltier, Mitchell Anthony Peltier, Mitchell Peltier, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 2019. Mitchell had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2024 - November 7, 2025
FRANKLIN DISTRIBUTORS, LLC
June 16, 2021 - November 7, 2025
PUTNAM INVESTMENT MANAGEMENT, LLC
May 26, 2021 - July 2, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 8, 2019 - May 11, 2021
FIDELITY BROKERAGE SERVICES 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
Series 7TO
Date: 4/6/2019
General Securities Representative ExaminationCurrent Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
