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Peter Albert Kraft

CELADON FINANCIAL GROUP
Milton, DE
·CRD# 1926972·37 years experience

Professional Summary

Peter Albert Kraft is a registered financial advisor currently at CELADON FINANCIAL GROUP LLC located in Milton, 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

Current

CELADON FINANCIAL GROUP LLCCurrent·CRD# 36538
BD
Milton, DE
May 4, 2017 - Present

Past

B. RILEY WEALTH MANAGEMENTPast·CRD# 2543
BD
New York, NY
November 5, 2008 - April 12, 2017
WEDBUSH SECURITIES INC.Past·CRD# 877
BD
Jersey City, NJ
June 26, 2007 - November 7, 2008
BROOKSTREET SECURITIES CORPORATIONPast·CRD# 14667
BD
Hoboken, NJ
April 22, 2003 - June 27, 2007
PUGLISI & CO.Past·CRD# 19451
BD
New York, NY
August 6, 2002 - March 14, 2003
BROOKSTREET SECURITIES CORPORATIONPast·CRD# 14667
BD
San Juan Capistrano, CA
November 29, 2001 - July 31, 2002
TRADITION SECURITIES AND DERIVATIVES LLCPast·CRD# 28269
BD
New York, NY
October 5, 2000 - October 17, 2001
ZIONS DIRECT, INC.Past·CRD# 17776
BD
Salt Lake City, UT
September 16, 1998 - January 3, 2001
DAIWA CAPITAL MARKETS AMERICA INC.Past·CRD# 1576
BD
New York, NY
April 26, 1996 - January 14, 1998
NOMURA SECURITIES INTERNATIONAL, INC.Past·CRD# 4297
BD
New York, NY
May 3, 1991 - October 11, 1995
SANWA SECURITIES (USA) CO., L.P.Past·CRD# 19697
BD
New York, NY
February 7, 1990 - November 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
New York, NY
March 21, 1989 - September 7, 1989

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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)

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

FINRA licenses (35 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

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

Disclosures

Regulatory Event

9

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(5/4/2017)
RR
New York
(5/4/2017)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Sep 1995About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2019About the Series 24 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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