Peter Moses
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 Moses, who also goes by Peter Jeffrey Moses, Peter Moses, Pj Moss, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2021 - December 11, 2025
GUGGENHEIM SECURITIES, LLC
September 17, 2013 - August 5, 2021
ROTHSCHILD & CO US INC.
September 22, 2008 - June 7, 2013
BARCLAYS CAPITAL INC.
February 11, 1998 - September 22, 2008
LEHMAN BROTHERS INC.
July 11, 1996 - January 8, 1998
LOEWENBAUM & COMPANY INCORPORATED
January 24, 1995 - July 11, 1996
BRENNER SECURITIES CORPORATION
August 31, 1992 - January 17, 1995
KIDDER, PEABODY & CO. INCORPORATED
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 ExaminationCurrent Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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