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HC

Howard J. Chalfin

Some features on this profile are disabled
CRD#: 2284555
HC

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.

Howard Jay Chalfin, who also goes by Howard Chalfin, was a registered financial professional .

Howard is a previously registered financial professional and started their career in finance in 1993. Howard had worked at 4 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Howard Chalfin

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

November 10, 1999 - January 26, 2005

PECONIC SECURITIES LLC

BD
CRD#: 46781
NEW YORK, NY
Past

March 14, 1997 - August 26, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 14, 1995 - February 14, 1997

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 17, 1993 - December 21, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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: 11/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 7/27/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/26/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/1999
General Securities Principal Examination

Current Firm

PS
PECONIC SECURITIES LLC
PECONIC SECURITIES LLC

CRD#: 46781 / SEC#: , 8-51530

BD
Terminated by SEC on 02/07/2005
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/12/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PECONIC TRADING ASSOCIATESMANAGING MEMBER
CHALFIN, HOWARD JAYPRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER
DING, DAVIDSROP AND CROP (VICE PRESIDENT/OPTIONS)2419776
STUPAY, MICHAEL ELLIOTCHIEF FINANCIAL OFFICER
STUPAY, MICHAEL ELLIOTFINOP

Disclosures

Regulatory Event2

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

PECONIC SECURITIES LLC

CRD#: 46781

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