Peter Vincent Flood

CRD 1803193 · Charles Schwab & Co., Inc. · Indianapolis, IN

Broker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (5): SIESeries 55Series 7Series 8Series 63
Registered states (45): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Indianapolis, IN · BC capacity

start not retrieved → present
Mutual Of America Securities LLC
Boca Raton, FL · BC capacity

Jul 12, 2018 → Dec 6, 2022
Mutual Of America Life Insurance Company
Boca Raton, FL · BC capacity

Jul 12, 2018 → Nov 24, 2020
Muriel Siebert & Co., Inc.
Boca Raton, FL · BC capacity

Jul 23, 2012 → May 15, 2017
Noble International Investments, Inc.
Boca Raton, FL · BC capacity

Dec 15, 2009 → Apr 20, 2010
Wedbush Morgan Securities Inc.
New York, NY · BC capacity

Feb 5, 2008 → May 15, 2008
A. G. Edwards & Sons, Inc.
New York, NY · BC capacity

Nov 5, 1997 → Dec 14, 2007
Morgan Keegan & Company, Inc.
Memphis, TN · BC capacity

Jun 24, 1996 → Nov 5, 1997
Chase Investment Services Corp.
Chicago, IL · BC capacity

May 15, 1995 → Oct 17, 1996
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Jun 17, 1989 → Feb 14, 1990
Drexel Burnham Lambert Incorporated
BC capacity

Apr 6, 1989 → Jun 22, 1989
Mclaughlin, Piven, Vogel Inc.
BC capacity

Mar 22, 1988 → Jul 22, 1988

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1803193 ↗ FINRA BrokerCheck record for CRD 1803193 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.