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Peter G. Olton

Some features on this profile are disabled
CRD#: 1967551
PO

Professional summary

Peter Gerard Olton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Peter had worked at 2 firms, which includes HSBC BROKERAGE (USA) INC., MARINE MIDLAND CAPITAL MARKETS CORP..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 19, 1991 - October 22, 1998

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

July 25, 1990 - September 30, 1991

MARINE MIDLAND CAPITAL MARKETS CORP.

BD
CRD#: 22336

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/5/1992
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/1/1991
General Securities Principal Examination

Current Firm

HB
HSBC BROKERAGE (USA) INC.
GEO. B. GIBBONS & CO., INC. | MARINE-CM&M SECURITIES, INC. | MARINE MIDLAND SECURITIES, INC. | INVESTDIRECT | HSBC BROKERAGE (USA) INC.

CRD#: 6956 / SEC#: , 8-19814

BD
Terminated by SEC on 03/28/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HSBC MARKETS (USA) INC.100% SHAREHOLDER
BENAK, MARVINSALES DIRECTOR3179319
COON, DAVID BRUCEHEAD OF SALES INFRASTRUCTURE720493
ESPOSITO, RAYMONDSALES DIRECTOR2271775
FUREY III, THOMAS JOSEPHDIRECTOR, CHIEF TRADING OFFICER4383891
GALLINO, JOSEPH ANTHONYASSISTANT SECRETARY & CHIEF COMPLIANCE OFFICER1076376
MCDONAGH, BRENDAN PAULDIRECTOR, CHAIRMAN
MURNANE, JEREMIAH THOMASDIRECTOR
PLIS, DANIEL JOSEPHSALES DIRECTOR1316128
SAMANIEGO, FABIAN ANABAL JRDIRECTOR, COO & CFO1195996
SCORDATO, DAVID VINCENTSALES DIRECTOR1641185
TUNG, GEASECRETARY2320421
WEBSTER, GREGORY HAROLDDIRECTOR, CEO & FIRM PRINCIPAL1494389

Disclosures

Regulatory Event4
Arbitration5

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

HSBC BROKERAGE (USA) INC.

CRD#: 6956

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