Peter J. Marquis
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 Marquis was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, 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
June 6, 2023 - June 17, 2025
EAST WEST MARKETS, LLC
January 5, 2017 - October 21, 2020
CAROLINA FINANCIAL SECURITIES, LLC
April 25, 2011 - June 22, 2016
TRUIST SECURITIES, INC.
January 27, 2010 - April 26, 2011
B. RILEY SECURITIES, INC.
September 19, 1994 - June 25, 1997
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/9/2022
General Securities Representative ExaminationSeries 79TO
Date: 8/9/2022
Investment Banking Registered Representative ExaminationCurrent Firm
EAST WEST MARKETS, LLC
CRD#: 146871 / SEC#: , 8-67858
Contact information
FINRA licenses (4 States and Territories)
Documents
Red Flags
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