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PS

Peter J. Stevens

CANTOR FITZGERALD & CO.
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2328596
PS

Professional summary

Peter James Stevens, who also goes by Peter James Stevens, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in San Francisco, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1995. Peter has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter James Stevens

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) - BD

Click below to view Peter James Stevens's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 6, 2026 - Present

CANTOR FITZGERALD & CO.

Office #1: One Sansome St. 41st Floor, San Francisco, CA 94104
BD
CRD#: 134
San Francisco, CA
Past

March 10, 2011 - February 20, 2026

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
SAN FRANCISCO, CA
Past

July 30, 2009 - February 12, 2010

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN FRANCISCO, CA
Past

June 2, 2006 - July 21, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 17, 2003 - October 31, 2005

PACIFIC GROWTH EQUITIES, LLC

BD
CRD#: 24835
SAN FRANCISCO, CA
Past

January 29, 1999 - December 17, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 1, 1997 - February 10, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

March 8, 1995 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/6/2026)
RR
New York
(1/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/1995
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CANTOR FITZGERALD & CO.
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CFS CF & CO I HOLDINGS, L.P.MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
BANDELIER, PASCAL DANIELCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES4424051
CFLP CF&CO I HOLDINGS, L.P.LIMITED PARTNER
KELLY, SAGE NOLANCO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING2528122
MERKEL, STEPHEN MARCUSEXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY2366318
SALINAS, DANNYCHIEF FINANCIAL OFFICER6184109
SHIELDS, WILLIAM MICHAELCHIEF COMPLIANCE OFFICER2380166
WALL, CHRISTIAN DOUGLASCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME2751397

Disclosures

Regulatory Event97

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

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD & CO.

CRD#: 134San Francisco, CA 94104

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