Peter Greenberg
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 Greenberg, who also goes by Peter Lawrence Greenberg, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1996 - August 29, 1996
PRIME CHARTER LTD.
April 26, 1994 - February 16, 1996
COMMONWEALTH ASSOCIATES
July 29, 1993 - May 2, 1994
GRUNTAL & CO., L.L.C.
April 29, 1993 - August 3, 1993
H.J. MEYERS & CO., 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
Current Firm
PRIME CHARTER LTD.
CRD#: 25668 / SEC#: , 8-41900
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAND CHARTER GROUP | SOLE SHAREHOLDER | |
| FYFE, DAVID WILLIAM | CROP, SROP | 1379498 |
| GIANNI, JAMES A | DIRECTOR OF COMPLIANCE | 3215697 |
| HAUSER, MARK ALLAN | GSP, ROP, MUNI PRINCIPAL | 1545167 |
| MOFSHIN, HOWARD JONATHAN | GSP | 2416504 |
| RONDA, MARK WILLIAM | DIRECTOR, SECRETARY, VICE CHAIR, PRESIDENT, MANAGING DIRECTOR, TREAURE | |
| SADICARIO, STEVEN LAWRENCE | BRANCH MANAGER, CROP | 1227073 |
| SANCHEZ, LUIS ALEXANDER | GSP | |
| SCHWARTZ, STEPHEN FRANK | C.O.O., C.R.O., DIRECTOR, PRESIDENT, CHARIMAN | 844549 |
| SHATZKAMER, LARRY | GSP | |
| SILVERMAN, MICHAEL HAL | GSP, ROP, MUNI PRINCIPAL | |
| STOLTZ, MARC HAROLD | FINOP | 1008943 |
| WHELAN, STEVEN PATRICK | GSP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 5 |
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.
