Peter J. Bertuglia
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 Joseph Bertuglia 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, Series 7, Series 6, Series 14 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2008 - August 17, 2012
NATIONAL SECURITIES CORPORATION
November 18, 2003 - April 16, 2007
KOVACK SECURITIES INC.
September 20, 2001 - December 31, 2003
THE CONCORD EQUITY GROUP, LLC
August 28, 2001 - June 28, 2002
WJB CAPITAL GROUP, INC.
May 3, 1999 - September 7, 2001
PARK AVENUE SECURITIES LLC
January 2, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
August 9, 1994 - October 15, 1997
MONY SECURITIES CORPORATION
April 3, 1993 - June 30, 1994
NYLIFE SECURITIES LLC
January 13, 1993 - February 8, 1993
ROYCE INVESTMENT GROUP, 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
Exams
Series 12
Date: 5/25/2000
NYSE Branch Manager ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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