Peter L. Tranquilli
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 Lawrence Tranquilli was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1995. Peter had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2004 - December 17, 2007
BROAD STREET SECURITIES, INC.
April 6, 2004 - May 28, 2004
LLOYD, SCOTT & VALENTI, LTD.
December 11, 2003 - April 13, 2004
VIEWTRADE FINANCIAL
August 5, 2003 - December 31, 2003
VIEWTRADE SECURITIES, INC.
March 1, 2000 - August 5, 2003
CROWN FINANCIAL GROUP, INC.
July 8, 1998 - March 27, 2000
FIRST LIBERTY INVESTMENT GROUP, INC.
December 19, 1996 - July 29, 1997
GLOBAL EQUITIES GROUP INC
March 25, 1996 - October 9, 1996
MEYERS POLLOCK ROBBINS, INC.
November 21, 1995 - March 25, 1996
A.S. GOLDMEN & CO., INC.
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
BROAD STREET SECURITIES, INC.
CRD#: 36101 / SEC#: , 8-47171
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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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