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Peter F. Marquardt

Some features on this profile are disabled
CRD#: 1247354
PM

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 Frame Marquardt, who also goes by Pete Marquardt, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 12 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 24, Series 23 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pete Marquardt

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 12, 2015 - August 29, 2025

OLDEN LANE SECURITIES, LLC

BD
CRD#: 173847
Bridgewater, NJ
Past

May 23, 2014 - July 2, 2024

SENAHILL SECURITIES, LLC

BD
CRD#: 166477
New York, NY
Past

June 30, 2010 - May 20, 2014

FCG ADVISORS, LLC

BD
CRD#: 40633
CHATHAM, NJ
Past

April 28, 2010 - June 25, 2010

APB FINANCIAL GROUP, LLC

BD
CRD#: 38235
NEW YORK, NY
Past

September 23, 2008 - December 24, 2008

MCKIM CAPITAL, INC.

BD
CRD#: 103814
NEW YORK, NY
Past

June 9, 2006 - September 15, 2006

HEDGE FUND CAPITAL PARTNERS, LLC

BD
CRD#: 113326
BROOKLYN, NY
Past

October 17, 2003 - November 10, 2004

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

April 22, 1996 - October 17, 2003

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

August 26, 1993 - March 12, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 27, 1987 - May 8, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

October 15, 1986 - June 1, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

June 26, 1985 - November 3, 1986

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/15/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 1/22/2004
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 8
Date: 9/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OL
OLDEN LANE SECURITIES, LLC
OLDEN LANE SECURITIES, LLC

CRD#: 173847 / SEC#: , 8-69556

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Somerset Corporate Blvd Suite 101-2nd Floor, Bridgewater, NJ 08807
Mailing Address
100 Somerset Corporate Blvd Suite 101-2nd Floor, Bridgewater, NJ 08807
Phone number
(908) 432-6819
Established
Delaware since 10/17/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OLDEN LANE, INC.OWNER
DEPARTMENT OF COMMERCE FEDERAL CREDIT UNIONPREFERRED EQUITY OWNER (NOT A CONTROL PERSON)
CHUN, YUEN NAFINOP2219603
MACCHIAROLA, MICHAEL COLLINSCHIEF EXECUTIVE OFFICER4444494
MERLINO, NICHOLAS JOSEPHCHIEF COMPLIANCE OFFICER5730516

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.

Company Information

OLDEN LANE SECURITIES, LLC

CRD#: 173847

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