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KP

Keith E. Peckholdt

APPIA FINANCIAL SERVICES
JERSEY CITY, NJ 07302
Some features on this profile are disabled
CRD#: 1271599
KP

Professional summary

Keith Edward Peckholdt, who also goes by Keith E Peckhoidt, Keith E Peckholdt, is a registered financial professional currently at APPIA FINANCIAL SERVICES located in Jersey City, New Jersey.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1984. Keith has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith E Peckhoidt | Keith E Peckholdt

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) - BD

Click below to view Keith Edward Peckholdt's CRS (Customer Relationship Summary).

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

Current

January 29, 2026 - Present

APPIA FINANCIAL SERVICES

Office #1: 101 Hudson Street 21st Floor, Jersey City, NJ, 07302
BD
CRD#: 335559
JERSEY CITY, NJ
Past

March 26, 2012 - April 4, 2022

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

September 22, 2009 - June 9, 2010

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

April 13, 2005 - September 15, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 23, 2003 - April 11, 2005

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

May 12, 1998 - November 23, 1999

MERRILL LYNCH GOVERNMENT SECURITIES OF PUERTO RICO, INC.

BD
CRD#: 19711
HATO REY, PR
Past

June 20, 1991 - May 20, 1992

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
NEW YORK, NY
Past

July 26, 1984 - March 4, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/30/2026)
RR
New Jersey
(2/24/2026)
RR
New York
(3/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/2026
Uniform Securities Agent State Law 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: 7/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/8/2016
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
APPIA FINANCIAL SERVICES
APPIA FINANCIAL SERVICES | APPIA FINANCIAL SERVICES, LLC

CRD#: 335559 / SEC#: , 8-71348

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 Vesey Street 24th Floor, New York, NY, 10281
Mailing Address
200 Vesey Street 24th Floor, New York, NY, 10281
Phone number
(646) 952-8699
Established
Delaware since 10/25/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
APPIA CAPITAL PARTNERS LLCOWNER
PECKHOLDT, KEITH EDWARDFINANCIAL AND OPERATIONS PRINCIPAL1271599
PICONE, EUGENEVICE PRESIDENT - SECURITIES LENDING4997432
ROTHBAUM, BRAD ANDERSCHIEF COMPLIANCE OFFICER1802673
STRACQUADANIO, JOHNCHIEF EXECUTIVE OFFICER1643369

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

APPIA FINANCIAL SERVICES

CRD#: 335559Jersey City, NJ 07302

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