Peter Margiotta

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CRD#: 2026763

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 Margiotta JR, who also goes by Peter Nmn Margiotta Jr, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter Nmn Margiotta Jr

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

May 11, 2015 - August 5, 2022

HEALTHCARE COMMUNITY SECURITIES CORP.

RIA

CRD#: 36026

White Plains, NY

Past

May 11, 2015 - August 5, 2022

HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026

RENSSELAER, NY

Past

August 23, 2013 - May 12, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

WHITE PLAINS, NY

Past

July 2, 2013 - July 12, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

WHITE PLAINS, NY

Past

June 25, 2013 - May 13, 2015

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

WHITE PLAINS, NY

Past

June 14, 2013 - May 12, 2015

LPL FINANCIAL LLC

CRD#: 6413

WHITE PLAINS, NY

Past

March 1, 2013 - April 8, 2013

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

June 16, 2005 - March 15, 2013

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

MAHOPAC, NY

Past

August 12, 1998 - May 11, 2005

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

July 19, 1996 - July 10, 1998

GBS RETIREMENT SERVICES, INC.

CRD#: 34889

ROLLING MEADOWS, IL

Past

December 20, 1994 - June 4, 1996

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEALTHCARE COMMUNITY SECURITIES CORP.

HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026 / SEC#: 801-67370, 8-46981

RIA

Registered Investment Advisory firm - SEC (1/5/2007 Approved)

New York

Registered Investment Advisory firm - SEC (3/25/2011 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/19/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/8/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HEALTHCARE COMMUNITY SECURITIES CORP.

HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026 / SEC#: 801-67370, 8-46981

RIA

Registered Investment Advisory firm - SEC (1/5/2007 Approved)

New York

Registered Investment Advisory firm - SEC (3/25/2011 Terminated)

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

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Contact information

Main Address

One Empire Drive, Rensselaer, NY 12144

Mailing Address

One Empire Drive, Rensselaer, NY 12144

Phone number

(518) 431-7600

Established

New York since 07/21/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HEALTHCARE COMMUNITY SECURITIES CORP ADV BROCHURE (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
GROUP INSURANCE AGENCY	PARENT CORPORATION
BORYSZAK, MARTIN W	BOARD OF DIRECTOR	7879632
BUCK, NOAH PATRICK	PRESIDENT	7071368
CUSACK, MICHELE L.	BOARD OF DIRECTOR	8030752
GELLER, MARK ELI	BOARD OF DIRECTOR	7880534
HAYES, MARY KATHERINE	CFO	6496056
LAROSE, JENNIFER	CHIEF COMPLIANCE OFFICER	3094139
MANZER, ANDREW RAYMOND	BOARD OF DIRECTOR	6852044
MCCOLLUM, CYNTHIA	BOARD OF DIRECTOR	7564445
RATNER, JOSHUA S	BOARD OF DIRECTOR	7880541
SCHILLER, JONATHAN DAVID	BOARD OF DIRECTOR	7880562
SMITH, JAMES	BOARD OF DIRECTOR	8030764
THOMAS, HUGH RICHARD	BOARD OF DIRECTOR	6852059
VERZI, DENNIS JAMES	BOARD OF DIRECTORS	6468921

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 4,551,889,453

Disclosures

Regulatory Event

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.

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Peter Margiotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HEALTHCARE COMMUNITY SECURITIES CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

EMPOWER FINANCIAL SERVICES, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

GBS RETIREMENT SERVICES, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

Primary Firm SEC Registration

HEALTHCARE COMMUNITY SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2013

Series 63

Date: 6/28/1996

SIE

Date: 10/1/2018

Series 6

Date: 12/19/1994

Series 26

Date: 10/8/2007

Current Firm

HEALTHCARE COMMUNITY SECURITIES CORP.

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HEALTHCARE COMMUNITY SECURITIES CORP.

TRUST BUT VERIFY

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