Pietro Ungaro
Professional summary
Pietro Ungaro, who also goes by Peter Ungaro, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Staten Island, New York.
Pietro is registered as a RR (Registered Representative) and started their career in finance in 1992. Pietro has worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Pietro Ungaro's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2012 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 4156 Hylan Blvd, Staten Island, NY 10308-3312December 24, 2008 - April 1, 2011
DASH FINANCIAL TECHNOLOGIES LLC
February 9, 2007 - November 2, 2011
LEGEND SECURITIES, INC.
March 18, 2005 - February 5, 2007
PRIME CAPITAL SERVICES, INC.
January 2, 2002 - June 18, 2002
WORLDCO, L.L.C.
September 6, 2000 - June 12, 2001
JOSEPH STEVENS & CO., INC.
April 24, 1999 - October 1, 1999
FIRST NEW YORK SECURITIES L.L.C.
August 28, 1992 - February 15, 2000
LCP CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/9/2024)
(4/9/2024)
(6/12/2015)
(3/9/2012)
(12/13/2024)
Exams
Series 55
Date: 7/10/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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