Peter A. Rosenthal
Professional summary
Peter Alan Rosenthal is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York and CF SECURED, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Alan Rosenthal's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2014 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4th Floor - Prime Services, New York, NY 10022Office #2: 692 Montauk Highway, Watermill, NY 11976May 17, 2017 - Present
CF SECURED, LLC
Office #1: 110 East 59th Street 4th Floor, New York, NY 10022May 14, 2010 - March 1, 2012
LAZARD FRERES & CO. LLC
July 22, 2009 - May 14, 2010
FM PARTNERS HOLDINGS LLC
February 26, 2007 - June 3, 2009
JEFFERIES LLC
September 14, 2004 - February 16, 2007
NEEDHAM & COMPANY, LLC
April 21, 2003 - February 16, 2007
NEEDHAM & COMPANY, LLC
February 23, 2001 - April 30, 2003
UBS FINANCIAL SERVICES INC.
September 2, 1998 - March 7, 2001
UBS SECURITIES LLC
March 23, 1998 - August 14, 1998
GRUNTAL & CO., L.L.C.
April 2, 1997 - March 13, 1998
HAMPSHIRE SECURITIES CORPORATION
December 22, 1992 - April 21, 1997
UBS FINANCIAL SERVICES 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
(2/3/2015)
(3/14/2018)
(3/14/2018)
(2/3/2015)
(2/3/2015)
(2/3/2015)
(8/14/2017)
(2/3/2015)
(3/14/2018)
(3/14/2018)
(8/14/2017)
(2/3/2015)
(3/14/2018)
(3/14/2018)
(3/14/2018)
(3/14/2018)
(3/14/2018)
(2/3/2015)
(3/14/2018)
(2/14/2014)
(3/14/2018)
(8/14/2017)
(2/3/2015)
(3/14/2018)
(8/14/2017)
(3/14/2018)
(3/14/2018)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CF SECURED, LLC
CRD#: 285841 / SEC#: , 8-69863
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CF SECURED HOLDINGS, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFIER/GLOBAL HEAD OF EQUITIES | 4424051 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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