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Peter Matthew Arnstein

CRD# 1199842·Registered 1983 - 2013
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter Matthew Arnstein was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1983 - 2013. Peter had worked at 7 firms and has passed the Series 63, Series 82, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

1ST WORLDWIDE FINANCIAL PARTNERS, LLC·CRD# 132038
BD
Lavallette, NJ
August 20, 2012 - August 22, 2013
MESIROW FINANCIAL, INC.·CRD# 2764
BD
Chicago, IL
December 10, 2004 - December 1, 2008
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
October 1, 1999 - May 11, 2000
FIRST UNION CAPITAL MARKETS CORP.·CRD# 6124
BD
Charlotte, NC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.·CRD# 19002
BD
Charlotte, NC
September 17, 1996 - February 2, 1998
LEHMAN BROTHERS INC.·CRD# 7506
BD
December 29, 1983 - August 12, 1988
LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555
BD
October 19, 1983 - June 27, 1984

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Current Firm

1W
1ST WORLDWIDE FINANCIAL PARTNERS, LLC

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

CRD#: 132038 / SEC#: 8-66544
BD
Terminated by SEC on 10/28/2013

Contact Information

Established

Delaware since 11/24/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
1ST WORLDWIDE PARTNERS, LLC.SHAREHOLDER - CLASS A AND CLASS B SHARES—
MONMOUTH GROUP, LLC.SHAREHOLDER - CLASS A AND CLASS B SHARES—
MAHONEY, JOHN FRANCISCEO, CHIEF COMPLIANCE OFFICER, CFO, FINOP2198689

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2005About the Series 63 exam

Series 82 — Limited Representative-Private Securities Offerings

Passed Aug 2012About the Series 82 exam

Series 7 — General Securities Representative Examination

Passed Dec 2004About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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