Peter A. Feinman
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 Austin Feinman was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2001 - November 13, 2001
COMMERZ MARKETS LLC
July 20, 1998 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
August 5, 1997 - July 21, 1998
GRUNTAL & CO., L.L.C.
June 7, 1995 - April 30, 1996
COWEN PRIME SERVICES TRADING LLC
October 11, 1991 - March 14, 1995
CREDIT SUISSE SECURITIES (USA) LLC
January 23, 1991 - October 24, 1991
SUTRO & CO. INCORPORATED
November 22, 1982 - April 3, 1986
MONTGOMERY SECURITIES
February 27, 1980 - October 20, 1981
MORGAN STANLEY & CO. LLC
September 12, 1975 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
July 15, 1970 - September 28, 1975
SHIELDS MODEL ROLAND INCORPORATED
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
Series 55
Date: 11/4/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 12/15/1967
Registered Representative ExaminationCurrent Firm
COMMERZ MARKETS LLC
CRD#: 41957 / SEC#: , 8-49647
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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