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PB

Peter F. Barsanti

Some features on this profile are disabled
CRD#: 2201112
PB

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 Franco Barsanti, who also goes by Peter F Barsanti, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter F Barsanti

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

December 15, 2015 - January 17, 2018

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

December 9, 2011 - January 4, 2016

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

April 27, 2010 - October 21, 2010

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

July 7, 2008 - April 14, 2010

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

September 5, 2003 - June 30, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 14, 2000 - July 21, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 3, 1999 - July 26, 2000

INTER-DEALER BROKERS LLC

BD
CRD#: 45502
NEW YORK, NY
Past

January 7, 1993 - July 26, 2000

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

November 25, 1992 - December 22, 1992

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

January 29, 1992 - July 17, 1992

PRIME CHARTER LTD.

BD
CRD#: 25668
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
RR
Series 63
Date: 2/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/1/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/28/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/1996
General Securities Principal Examination

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.

CRD#: 583 / SEC#: , 8-21901

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

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

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.

Company Information

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

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