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PG

Peter D. Green

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CRD#: 1386740
PG

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 Dahl Green was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 9 firms and has passed the Series 66, Series 63, Series 55, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

April 20, 2011 - March 8, 2012

LEGEND TRADING, LLC

BD
CRD#: 150567
NEW YORK, NY
Past

October 8, 2010 - December 2, 2010

BLUEFIN CAPITAL MANAGEMENT, LLC

BD
CRD#: 113892
NEW YORK, NY
Past

November 6, 2009 - March 2, 2010

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

July 19, 2006 - February 1, 2008

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

September 29, 2004 - July 5, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
GREENVILLE, SC
Past

August 19, 2004 - July 5, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
GREENVILLE, SC
Past

April 30, 2002 - August 19, 2004

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

February 25, 2000 - September 28, 2001

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

May 6, 1993 - February 23, 2000

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 17, 1985 - May 18, 1992

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

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
IAR
Series 66
Date: 9/28/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 12/22/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 1/17/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1985
General Securities Representative Examination

Current Firm

LT
LEGEND TRADING, LLC
LEGEND TRADING, LLC

CRD#: 150567 / SEC#: , 8-68269

BD
Terminated by SEC on 04/05/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/19/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK INC.SHAREHOLDER
FUSCO, ANTHONYMANAGING MEMBER, PRINCIPAL2704753
MILLER, JOHN STEVENSONFINOP2139980
SERCIA, ANTHONY FRANKCOMPLIANCE OFFICER2067424

Disclosures

Regulatory Event7

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

LEGEND TRADING, LLC

CRD#: 150567

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