Peter C. Einselen
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 Christian Einselen, who also goes by Pete Einselen, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1969. Peter had worked at 9 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2011 - May 9, 2013
CAPITAL GUARDIAN, LLC
April 4, 2005 - November 22, 2011
ANDERSON & STRUDWICK, INCORPORATED
April 5, 1994 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
September 28, 1990 - November 22, 2011
ANDERSON & STRUDWICK, INCORPORATED
December 27, 1983 - October 11, 1990
SCOTT & STRINGFELLOW, INC.
May 5, 1982 - February 15, 1984
UBS FINANCIAL SERVICES INC.
September 16, 1977 - May 17, 1982
PRUDENTIAL EQUITY GROUP, LLC
July 6, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
October 5, 1972 - July 3, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 24, 1969 - June 22, 1972
OPPENHEIMER ASSET MANAGEMENT CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 10/20/1969
Registered Representative ExaminationSeries 8
Date: 2/17/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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