Peter D. Grassel
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 Daniel Grassel, who also goes by Peter Daniel Grassel, Peter Grassel, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 10 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2021 - January 24, 2025
NYLIFE SECURITIES LLC
May 4, 2020 - October 6, 2021
RNR SECURITIES, L.L.C.
May 1, 2014 - January 24, 2020
PARK AVENUE SECURITIES LLC
July 22, 2013 - April 28, 2014
HALLIDAY FINANCIAL, LLC
January 2, 2003 - June 27, 2013
SANDGRAIN SECURITIES LLC
January 28, 2002 - January 2, 2003
NESFIELD CAPITAL INC
September 6, 2000 - August 21, 2001
PATAGON.COM SECURITIES CORP.
October 28, 1994 - August 30, 2000
SANDGRAIN SECURITIES LLC
August 16, 1989 - December 19, 1993
PEAK SECURITIES CORP.
March 11, 1988 - April 11, 1989
NEW YORK CAPITAL MARKETS INC.
September 24, 1986 - December 19, 1986
FIRST JERSEY SECURITIES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
