Peter G. Plaut

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CRD#: 2174346

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 Gary Plaut was a registered financial advisor .

Peter is a previously registered financial advisor and started their career in finance in 1991. Peter had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 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®

None

Experience

Past

May 15, 2017 - October 16, 2018

OBERON SECURITIES, LLC

CRD#: 132598

NEW YORK, NY

Past

September 10, 2012 - March 1, 2017

PENSERRA SECURITIES, LLC

CRD#: 145994

ORINDA, CA

Past

December 20, 2011 - August 13, 2012

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

NEW YORK, NY

Past

December 12, 2011 - December 21, 2011

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

NEW YORK, NY

Past

May 17, 2011 - December 5, 2011

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

January 25, 2011 - May 27, 2011

JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363

STAMFORD, CT

Past

January 5, 2011 - May 27, 2011

JEFFERIES LLC

CRD#: 2347

STAMFORD, CT

Past

July 6, 2009 - November 30, 2010

BTIG, LLC

CRD#: 122225

NEW YORK, NY

Past

January 15, 2009 - August 5, 2009

HOVDE GROUP, LLC

CRD#: 25425

INVERNESS, IL

Past

July 22, 2008 - November 21, 2008

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

PALM BEACH GARDENS, FL

Past

April 25, 2008 - November 21, 2008

IMPERIAL CAPITAL, LLC

CRD#: 43744

NEW YORK, NY

Past

July 8, 1999 - August 28, 2006

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 1, 1998 - June 23, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 20, 1994 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

April 6, 1992 - April 28, 1994

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 7, 1991 - April 8, 1992

JPMSI

CRD#: 15733

NEW YORK, NY

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

IAR

Series 65

Date: 7/21/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 2/19/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 86

Date: 8/28/2008

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 6/23/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/6/1991

General Securities Representative Examination

Current Firm

OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

445 Park Avenue, Suite 4b, New York, NY 10022

Mailing Address

445 Park Avenue, Suite 4b, New York, NY 10022

Phone number

(212) 386-7080

Established

New York since 04/11/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OBERON MANAGEMENT, LLC	MEMBER
BRESLAWSKY, ADAM SCOTT	MANAGER	2522542
EPSTEIN, ELAD	FINOP, MANAGER, ACO	2731183
SCHMIDT, NICOLE ALEXANDRA	CCO, MANAGER	2686117

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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Firm Stability Insights

Peter G. Plaut

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PENSERRA SECURITIES, LLC

GLOBAL HUNTER SECURITIES, LLC

TEJAS SECURITIES GROUP, INC.

MF GLOBAL INC.

JEFFERIES HIGH YIELD TRADING, LLC

JEFFERIES LLC

BTIG, LLC

HOVDE GROUP, LLC

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

IMPERIAL CAPITAL, LLC

BANC OF AMERICA SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

UBS SECURITIES LLC

JPMSI

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2008

Series 63

Date: 1/24/1995

SIE

Date: 10/1/2018

Series 79

Date: 2/19/2018

Series 86

Date: 8/28/2008

Series 87

Date: 6/23/2008

Series 7

Date: 11/6/1991

Current Firm

OBERON SECURITIES, LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OBERON SECURITIES, LLC

TRUST BUT VERIFY

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