Peter P. Penha
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 Phillip Penha 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 63, Series 57TO, SIE, Series 87, Series 55, 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
July 2, 2018 - March 5, 2024
PANMURE LIBERUM INC
June 1, 2009 - May 15, 2018
ROTHSCHILD & CO REDBURN
April 3, 2006 - May 29, 2009
MORGAN STANLEY & CO. LLC
May 1, 2001 - March 21, 2006
J.P. MORGAN SECURITIES INC.
January 16, 2001 - May 1, 2001
JPMSI
September 11, 1998 - January 12, 2001
ROBERT FLEMING INC.
April 10, 1997 - September 4, 1998
CISF SECURITIES (USA), 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/6/2010
Limited Representative-Equity Trader ExamCurrent Firm
PANMURE LIBERUM INC
CRD#: 148135 / SEC#: , 8-67976
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PANMURE LIBERUM CAPITAL LIMITED | SOLE OWNER | |
| PLANT, JULIAN HUGH BENEDICT | CHIEF EXECUTIVE OFFICER | 1848356 |
| RICCI, RICHARD THOMAS | DIRECTOR | 2575976 |
| VIGLIAROLO, JOSEPH CHARLES | FINOP, CFO, PFO, TREASURER | 4880434 |
| WAGNER, ALAN PHILIP | PRINCIPAL OPERATIONS OFFICER | 3095126 |
| WAGNER, ALAN PHILIP | RESEARCH PRINCIPAL | 3095126 |
| WAGNER, ALAN PHILIP | OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 3095126 |
Red Flags
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