Peter Laurella
Professional summary
Peter Laurella was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Peter had worked at 5 firms, which includes THE REGENCY GROUP INC., R.D. WHITE & CO. INC., FIRST LIBERTY INVESTMENT GROUP INC., ASH FINANCIAL CORP., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2000 - December 14, 2000
THE REGENCY GROUP, INC.
December 23, 1998 - May 10, 2000
R.D. WHITE & CO., INC.
March 3, 1997 - December 9, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
December 20, 1996 - January 9, 1997
ASH FINANCIAL CORP.
August 25, 1993 - May 2, 1996
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE REGENCY GROUP, INC.
CRD#: 45216 / SEC#: , 8-50995
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REGENCY HOLDING GROUP, INC. | OWNER | |
| APPELL, DAVID AARON | PRESIDENT, CEO, SROP, CROP, MANAGING DIRECTOR | |
| GRANT, KEITH RAYIGNATIUS | CFO, COO | 2747595 |
| GRILLAS, NICHOLAS DEMETRIOS | DIRECTOR OF COMPLIANCE | 2545323 |
| MAIORANO, DOMINICK ROBERT | HEAD TRADER, ROP, GOV'T SECURITIES PRINCIPAL | |
| SWICKLE, ADAM BRUCE | MANAGING DIRECTOR-SALES, SECRETARY |
Red Flags
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