Peter P. Wan
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 Paul Wan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 7 firms and has passed the Series 66, 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
October 5, 2018 - February 19, 2021
SAFRA SECURITIES LLC
August 24, 2015 - December 19, 2017
DEUTSCHE BANK SECURITIES INC.
January 15, 2015 - July 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2015 - July 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2013 - October 10, 2013
CANTOR FITZGERALD & CO.
August 29, 2007 - December 7, 2011
BNP PARIBAS SECURITIES CORP.
March 21, 2006 - August 21, 2007
UBS FINANCIAL SERVICES INC.
September 20, 2002 - March 21, 2006
UBS SECURITIES LLC
April 23, 1997 - October 14, 2002
UBS FINANCIAL SERVICES 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
Series 7TO
Date: 4/28/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/28/2024
Investment Banking Registered Representative ExaminationCurrent Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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