Peter J. Maltese
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 Joseph Maltese was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1995. Peter had worked at 6 firms and has passed the Series 63, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2014 - June 12, 2014
EASTGATE SECURITIES, LLC
March 13, 2006 - June 15, 2010
E. H. SMITH JACOBS & CO., INC.
August 22, 2002 - February 22, 2012
RAYMOND C. FORBES & CO., INC.
October 1, 2000 - August 21, 2002
THE GRISWOLD COMPANY, INCORPORATED
September 9, 1997 - May 1, 2000
PRENTICE SECURITIES, INCORPORATED
March 27, 1995 - October 2, 1995
MESIROW FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/29/2006
Limited Representative-Equity Trader ExamSeries 25
Date: 3/9/2000
NYSE Trading Assistant ExaminationCurrent Firm
EASTGATE SECURITIES, LLC
CRD#: 146671 / SEC#: , 8-67837
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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