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PF

Peter S. Feldman

CLEARPOOL EXECUTION SERVICES
New York, NY 10004
Some features on this profile are disabled
CRD#: 2976684
PF

Professional summary

Peter Scott Feldman is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1998. Peter has worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 55, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Peter Scott Feldman'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

April 12, 2021 - Present

CLEARPOOL EXECUTION SERVICES, LLC

Office #1: 17 State Street 38th Floor, New York, NY, 10004
BD
CRD#: 168490
New York, NY
Past

January 3, 2005 - July 2, 2013

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

October 8, 2002 - October 1, 2003

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

April 26, 2002 - July 29, 2002

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

April 10, 2002 - October 8, 2004

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 27, 2000 - April 3, 2002

BOSTON PARTNERS SECURITIES, L.L.C.

BD
CRD#: 2998
BOSTON, MA
Past

June 15, 1998 - April 17, 2000

LN SECURITIES, INC.

BD
CRD#: 2554
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/14/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/21/2025
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 2/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/9/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/2025
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/31/2004
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CE
CLEARPOOL EXECUTION SERVICES, LLC
CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
17 State Street 38th Floor, New York, NY, 10004
Mailing Address
17 State Street 38th Floor, New York, NY, 10004
Phone number
(212) 531-8500
Established
New York since 05/07/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINOP3028843
FORLENZA, MICHAELPRESIDENT5886049
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904
YUKILEVICH, DANIELCHIEF COMPLIANCE OFFICER5635481

Disclosures

Regulatory Event19

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.

Company Information

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490New York, NY 10004

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