Peter C. Pessoni
Professional summary
Peter Charles Pessoni JR 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 1992. Prior to being barred, Peter had worked at 14 firms, which includes LEGEND MERCHANT GROUP INC., D.L. CROMWELL INVESTMENTS INC., MILLENNIUM SECURITIES CORP., CONTINENTAL BROKER-DEALER CORP., MEYERS POLLOCK ROBBINS INC., EURO-ATLANTIC SECURITIES INC., MONITOR INVESTMENT GROUP INC., BILTMORE SECURITIES INC., WINDSOR REYNOLDS SECURITIES INC., SEABOARD SECURITIES INC., STRATTON OAKMONT INC., MAIDSTONE FINANCIAL INC., DUKE & CO. INC., H G I.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1997 - January 6, 1998
LEGEND MERCHANT GROUP, INC.
August 1, 1997 - October 17, 1997
D.L. CROMWELL INVESTMENTS, INC.
April 8, 1997 - June 23, 1997
MILLENNIUM SECURITIES CORP.
December 9, 1996 - February 5, 1997
CONTINENTAL BROKER-DEALER CORP.
May 20, 1996 - October 7, 1996
MEYERS POLLOCK ROBBINS, INC.
April 1, 1996 - May 14, 1996
EURO-ATLANTIC SECURITIES INC.
January 16, 1996 - March 20, 1996
MONITOR INVESTMENT GROUP, INC.
November 16, 1995 - December 15, 1995
BILTMORE SECURITIES, INC.
October 19, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
June 1, 1995 - July 22, 1995
MEYERS POLLOCK ROBBINS, INC.
November 30, 1994 - June 21, 1995
SEABOARD SECURITIES, INC.
July 2, 1994 - October 20, 1994
STRATTON OAKMONT INC.
March 25, 1994 - April 14, 1994
MAIDSTONE FINANCIAL, INC.
January 25, 1994 - March 28, 1994
DUKE & CO., INC.
September 28, 1993 - January 10, 1994
H G I
March 19, 1992 - September 16, 1993
STRATTON OAKMONT INC.
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
Current Firm
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
Red Flags
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