Peter A. Faggioni
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 Anthony Faggioni, who also goes by Peter Anthony Faggione, Peter Faggione, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2015 - May 12, 2016
ROTHSCHILD LIEBERMAN LLC
March 22, 2013 - September 16, 2015
CRAIG SCOTT CAPITAL, LLC
July 28, 2010 - April 5, 2013
NATIONAL SECURITIES CORPORATION
May 19, 2010 - July 29, 2010
BROOKSTONE SECURITIES, INC.
October 28, 2009 - May 17, 2010
JHS CAPITAL ADVISORS, LLC
September 28, 2000 - May 22, 2001
J.P. TURNER & COMPANY, L.L.C.
April 25, 2000 - August 11, 2000
INSTITUTIONAL EQUITY CORPORATION
November 18, 1998 - July 21, 1999
CONTINENTAL BROKER-DEALER CORP.
April 3, 1998 - October 5, 1998
H.J. MEYERS & CO., INC.
April 29, 1993 - January 30, 1998
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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