Craig M. Perlman
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.
Craig Michael Perlman was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1993. Craig had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2015 - October 11, 2017
SG AMERICAS SECURITIES, LLC
July 18, 2006 - November 20, 2014
DEUTSCHE BANK SECURITIES INC.
December 5, 2003 - April 12, 2006
UBS SECURITIES LLC
March 1, 2002 - December 5, 2003
ABN AMRO INCORPORATED
June 10, 1993 - March 1, 2002
ABN AMRO SECURITIES LLC
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
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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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