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PK

Peter A. Kraft

CELADON FINANCIAL GROUP LLC
Le Mans, DE
Some features on this profile are disabled
CRD#: 1926972
PK

Professional summary

Peter Albert Kraft is a registered financial professional currently at CELADON FINANCIAL GROUP LLC located in Le Mans, Delaware.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 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) - BD

Click below to view Peter Albert Kraft's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 4, 2017 - Present

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
Le Mans, DE
Past

November 5, 2008 - April 12, 2017

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
New York, NY
Past

June 26, 2007 - November 7, 2008

WEDBUSH SECURITIES INC.

BD
CRD#: 877
JERSEY CITY, NJ
Past

April 22, 2003 - June 27, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
HOBOKEN, NJ
Past

August 6, 2002 - March 14, 2003

PUGLISI & CO.

BD
CRD#: 19451
NEW YORK, NY
Past

November 29, 2001 - July 31, 2002

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

October 5, 2000 - October 17, 2001

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

September 16, 1998 - January 3, 2001

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

April 26, 1996 - January 14, 1998

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

May 3, 1991 - October 11, 1995

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

February 7, 1990 - November 12, 1990

SANWA SECURITIES (USA) CO., L.P.

BD
CRD#: 19697
NEW YORK, NY
Past

March 21, 1989 - September 7, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(5/4/2017)
RR
New York
(5/4/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/12/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/10/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CELADON FINANCIAL GROUP LLC
CELADON FINANCIAL GROUP LLC | SECURITIES & INVESTMENT PLANNING CO. | CELADONFINANCIAL.COM

CRD#: 36538 / SEC#: , 8-47288

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
89 Headquarters Plaza North Pmb 1483, Morristown, NJ 07960
Mailing Address
89 Headquarters Plaza North Pmb 1483, Morristown, NJ 07960
Phone number
(973) 701-8033
Established
Delaware since 03/09/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HERSCH, DARYL SCOTTCEO/MAJORITY MEMBER/GSP/ROSFP1255474
CAMBRIA HOLDINGS, INC.MINORITY MEMBER
COSTINE, MELISSA ANNEOPERATIONS MANAGER/GSP2646983
NAVAS, NELSON GABRIELCFO/FINOP/GSP5092353
PASTINE, ARMAND RALPHHEAD OF CAPITAL MARKETS/GSP2257531
WALDMAN, PAUL MITCHELLCCO/AMLCO/GSP/ROSFP1885767

Disclosures

Regulatory Event9
Arbitration1

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

CELADON FINANCIAL GROUP LLC

CRD#: 36538Le Mans, DE

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