Peter J. Forbes
Professional summary
Peter John Maurice Forbes is a registered financial professional currently at PERSHING LLC located in Jersey City, New Jersey.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter John Maurice Forbes's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 2020 - Present
PERSHING LLC
Office #1: One Pershing Plaza, Jersey City, NJ 07399December 23, 2015 - July 23, 2018
HSBC SECURITIES (USA) INC.
October 29, 2013 - November 11, 2015
UBS FINANCIAL SERVICES INC.
December 16, 2009 - September 15, 2010
MSI FINANCIAL SERVICES, INC.
September 19, 2008 - December 1, 2009
NEW ENGLAND SECURITIES
September 17, 2008 - December 1, 2009
NEW ENGLAND SECURITIES
February 4, 2008 - September 12, 2008
OSAIC FS, INC.
February 4, 2008 - September 12, 2008
OSAIC FS, INC.
May 13, 2004 - January 4, 2008
PRUCO SECURITIES, LLC.
December 2, 2003 - January 4, 2008
PRUCO SECURITIES, LLC.
June 1, 1992 - July 12, 2000
CITICORP INVESTMENT SERVICES
February 26, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
April 18, 1989 - April 23, 1990
LEHMAN BROTHERS 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
BOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
Red Flags
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