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Peter Gerald Hasselmann

CRD# 2826958·Registered 1996 - 2013
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter Gerald Hasselmann, who also goes by Peter Hasselmann, was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1996 - 2013. Peter had worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 31 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Peter Hasselmann

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

ICE EXECUTION SERVICES, LLC·CRD# 146496
BD
New York, NY
December 16, 2011 - October 24, 2013
TD AMERITRADE, INC.·CRD# 7870
BD
Omaha, NE
June 1, 1998 - September 29, 2000
JACK WHITE & COMPANY, INC.·CRD# 7645
BD
October 21, 1997 - June 1, 1998
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
December 11, 1996 - August 27, 1997

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Current Firm

IE
ICE EXECUTION SERVICES, LLC

BALLISTA SECURITIES, LLC | ICE MATCH | ICE EXECUTION SERVICES, LLC

CRD#: 146496 / SEC#: 8-67824
BD
Terminated by SEC on 12/24/2013

Contact Information

Established

New York since 10/01/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BALLISTA HOLDINGS LLCMANAGING MEMBER—
BAUMANN, MAURISA CHRISTINEHEAD OF SALES5969439
HARRISON, BRIAN MICHAELPRESIDENT4892235
KENNEY, TODD MOORECOO/RSFOP/GSP3213651
O'CONNOR, CATHERINE ANNCCO AND FINOP4764976

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2012About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1997About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed Dec 2011About the Series 7 exam

Series 31 — Futures Managed Funds Examination

Passed Jan 1997About the Series 31 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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PH
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