Peter E. Gall
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 Edward Gall JR was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 9 firms and has passed the Series 63, SIE, Series 3 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
August 21, 2017 - July 11, 2018
MAREX CAPITAL MARKETS INC.
June 22, 2004 - January 12, 2016
DEUTSCHE BANK SECURITIES INC.
June 21, 2000 - June 24, 2004
BANC OF AMERICA SECURITIES LLC
February 13, 1997 - March 9, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 1997 - March 9, 2000
MERRILL LYNCH GOVERNMENT SECURITIES INC.
March 11, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
March 11, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 19, 1991 - January 24, 1997
LEHMAN BROTHERS INC.
July 29, 1987 - October 25, 1988
LLOYDS GOVERNMENT SECURITIES CORPORATION
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
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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