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PF

Peter J. Formanek

YOUNG AMERICA CAPITAL
Mamaroneck, NY 10543
Some features on this profile are disabled
CRD#: 1363186
PF

Professional summary

Peter James Formanek, who also goes by Peter Formanek, is a registered financial professional currently at YOUNG AMERICA CAPITAL, LLC located in Mamaroneck, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2010. Peter has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 50, Series 7, Series 14, Series 54, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter Formanek

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 Peter James Formanek's CRS (Customer Relationship Summary).
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

March 9, 2010 - Present

YOUNG AMERICA CAPITAL, LLC

Office #1: 141 East Boston Post Road, Mamaroneck, NY 10543Office #2: 141 East Boston Post Road, Mamaroneck, NY 10543
BD
CRD#: 150443
Mamaroneck, 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
Alabama
(8/5/2024)
RR
Arizona
(2/3/2021)
RR
California
(2/1/2021)
RR
Colorado
(1/12/2021)
RR
Connecticut
(1/12/2021)
RR
Delaware
(9/29/2021)
RR
Florida
(5/23/2012)
RR
Georgia
(11/6/2024)
RR
Illinois
(2/2/2021)
RR
Kentucky
(8/15/2022)
RR
Maryland
(2/16/2021)
RR
Massachusetts
(1/13/2021)
RR
Michigan
(5/2/2024)
RR
Minnesota
(5/9/2024)
RR
Mississippi
(5/3/2024)
RR
Missouri
(11/30/2023)
RR
Nevada
(8/17/2023)
RR
New Jersey
(1/20/2021)
RR
New Mexico
(7/27/2021)
RR
New York
(1/17/2021)
RR
Oklahoma
(7/20/2021)
RR
Oregon
(5/1/2023)
RR
Pennsylvania
(3/25/2021)
RR
Tennessee
(9/18/2023)
RR
Texas
(1/13/2021)
RR
Utah
(4/8/2024)
RR
Virginia
(8/10/2021)
RR
Washington
(7/8/2024)
RR
Wyoming
(8/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2009
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 1/16/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 8/4/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 54
Date: 7/5/2019
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 7/13/2009
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

YA
YOUNG AMERICA CAPITAL, LLC
YOUNG AMERICA CAPITAL, LLC

CRD#: 150443 / SEC#: , 8-68260

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

Main Address
141 East Boston Post Road, Mamaroneck, NY 10543
Mailing Address
141 East Boston Post Road, Mamaroneck, NY 10543
Phone number
(914) 777-0100
Established
Delaware since 05/08/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORMANEK, PETER JAMESMANAGING MEMBER
FORMANEK, PETER JAMESFINANCIAL PRINCIPAL
FORMANEK, PETER JAMESCFO
FORMANEK, PETER JAMESCCO, AMLCO

Disclosures

Regulatory Event1

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

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443Mamaroneck, NY 10543

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