PM
Peter Mcmahon
OSAIC INSTITUTIONS
New York, NY 10004
Some features on this profile are disabled
CRD#: 2415782
PM
Professional summary
Peter Mcmahon, who also goes by Peter John Mcmahon, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in New York, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Peter has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter John Mcmahon
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.
Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Mcmahon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Mcmahon's 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®
NoneExperience
Current
June 21, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 85 Broad Street 10th Floo, New York, NY 10004RIA
BD
CRD#: 35371
New York, NY
Current
June 21, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 85 Broad Street 10th Floo, New York, NY 10004RIA
BD
CRD#: 35371
New York, NY
Past
May 2, 2018 - July 3, 2023
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
SCARSDALE, NY
Past
May 1, 2018 - May 1, 2018
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
SCARSDALE, NY
Past
May 1, 2018 - July 3, 2023
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
SCARSDALE, NY
Past
May 4, 2016 - April 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WOODBURY, CT
Past
April 29, 2016 - April 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WOODBURY, CT
Past
May 16, 2012 - May 24, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
PEARL RIVER, NY
Past
May 15, 2012 - May 24, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
PEARL RIVER, NY
Past
June 9, 2009 - May 15, 2012
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NYACK, NY
Past
June 9, 2009 - May 15, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NYACK, NY
Past
June 16, 2008 - June 4, 2009
PEOPLE'S SECURITIES, INC.
RIA
CRD#: 13704
BROOKFIELD, CT
Past
May 21, 2008 - June 4, 2009
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BROOKFIELD, CT
Past
March 4, 2008 - June 2, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 27, 2007 - March 5, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WHITE PLAINS, NY
Past
September 27, 2007 - March 5, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WHITE PLAINS, NY
Past
July 12, 2006 - September 5, 2007
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MOUNT KISCO, NY
Past
January 1, 2005 - September 5, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MOUNT KISCO, NY
Past
May 21, 2002 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
October 12, 1999 - May 16, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 30, 1999 - November 1, 1999
STOCKTON EQUITIES GROUP
BD
CRD#: 18262
SAN DIEGO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(6/21/2023)
RR
California(6/21/2023)
RR
Connecticut(6/21/2023)
RR
District of Columbia(5/5/2025)
RR
Florida(6/21/2023)
RR
Maine(6/21/2023)
RR
Massachusetts(6/21/2023)
RR
Nevada(6/21/2023)
RR
New Hampshire(6/21/2023)
RR
New Jersey(6/21/2023)
RR
New York(6/21/2023)
IAR
New York(6/21/2023)
RR
Pennsylvania(6/21/2023)
RR
Texas(6/21/2023)
IAR
Texas(6/21/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
