Peter C. Pandolfo Jr

PANDOLFO CAPITAL

Robbinsville, NJ 08691

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CRD#: 2470958

Professional summary

Peter Charles Pandolfo Jr, who also goes by Peter C Pandolfo, Peter Charles Pandolfo Jr, is a registered financial advisor currently at PANDOLFO CAPITAL, LLC located in Robbinsville, New Jersey.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Peter has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter C Pandolfo | Peter Charles Pandolfo Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Charles Pandolfo Jr'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®

None

Experience

Current

December 1, 2008 - Present

PANDOLFO CAPITAL, LLC

Office #1: 1234 Park Street, Robbinsville, NJ 08691

RIA

CRD#: 148682

Robbinsville, NJ

Past

January 10, 2000 - December 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PRINCETON, NJ

Past

July 7, 1994 - December 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PRINCETON, NJ

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(12/3/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/9/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/9/1994

General Securities Representative Examination

Current Firm

PANDOLFO CAPITAL, LLC

PANDOLFO CAPITAL, LLC | PCAPITAL, LLC

CRD#: 148682 / SEC#: 801-69735

RIA

Registered Investment Advisory firm - (5/20/2009 Terminated)

New Jersey

Registered Investment Advisory firm - (5/6/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1234 Park Street, Robbinsville, NJ 08691

Mailing Address

Phone number

(609) 610-5057

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 10,300,000

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.

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Peter C. Pandolfo Jr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Charles Pandolfo Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

PANDOLFO CAPITAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/1994

Series 63

Date: 5/24/1994

Series 7

Date: 5/9/1994

Current Firm

PANDOLFO CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PANDOLFO CAPITAL, LLC

TRUST BUT VERIFY

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