Peter C. Giammarinaro

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CRD#: 2143554

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 Charles Giammarinaro, CFP® was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1991. Peter had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Past

April 30, 2013 - November 23, 2020

SHAPIRO FINANCIAL SECURITY GROUP, INC.

RIA

CRD#: 120801

HAZLET, NJ

Past

August 19, 2005 - September 30, 2009

WORLD INVESTMENTS, LLC

RIA

CRD#: 20626

BASKING RIDGE, NJ

Past

August 19, 2005 - September 30, 2009

WORLD INVESTMENTS, LLC

CRD#: 20626

BASKING RIDGE, NJ

Past

September 11, 2002 - May 18, 2005

NEW ENGLAND SECURITIES

RIA

CRD#: 615

SOMERVILLE , NJ

Past

September 5, 2002 - July 21, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 9, 2002 - August 9, 2002

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRIDGEWATER, NJ

Past

April 9, 2002 - August 9, 2002

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 12, 1996 - June 21, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

June 12, 1991 - December 20, 1995

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

SHAPIRO FINANCIAL SECURITY GROUP, INC.

KENNETH B. SHAPIRO & COMPANY, INC. | SHAPIRO FINANCIAL SECURITY GROUP, INC.

CRD#: 120801 / SEC#: 801-121063

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/17/2008 Terminated)

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

Series 63

Date: 4/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/4/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHAPIRO FINANCIAL SECURITY GROUP, INC.

KENNETH B. SHAPIRO & COMPANY, INC. | SHAPIRO FINANCIAL SECURITY GROUP, INC.

CRD#: 120801 / SEC#: 801-121063

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/17/2008 Terminated)

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Contact information

Main Address

1 Bethany Road Building 6, Suite 90, Hazlet, NJ 07730

Mailing Address

Phone number

(732) 739-8991

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 ADV BROCHURE (3/27/2025)

2025 ADV BROCHURE (3/27/2025)

2023 ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	526
AUM (Assets Under Management)	$ 131,191,478

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 C. Giammarinaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WORLD INVESTMENTS, LLC

WORLD INVESTMENTS, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

SHAPIRO FINANCIAL SECURITY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/25/2002

Series 7

Date: 2/4/2003

Series 6

Date: 4/8/2002

Current Firm

SHAPIRO FINANCIAL SECURITY GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHAPIRO FINANCIAL SECURITY GROUP, INC.

TRUST BUT VERIFY

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