PB
Peter A. Braffman
GRV SECURITIES LLC
NEW YORK, NY 10153
Some features on this profile are disabled
CRD#: 3013374
PB
Professional summary
Peter Andrew Braffman, who also goes by Peter A Braffman, is a registered financial professional currently at GRV SECURITIES 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 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter A Braffman
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Andrew Braffman'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®
NoneExperience
Current
January 14, 2014 - Present
GRV SECURITIES LLC
Office #1: 767 5th Avenue Floor 11, New York, NY 10153BD
CRD#: 138348
NEW YORK, NY
Past
September 26, 2012 - January 15, 2014
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 5, 1998 - September 27, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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
Alabama(9/16/2015)
RR
Arizona(9/16/2015)
RR
Arkansas(9/16/2015)
RR
California(9/16/2015)
RR
Colorado(9/16/2015)
RR
Connecticut(9/16/2015)
RR
Delaware(9/16/2015)
RR
District of Columbia(9/16/2015)
RR
Florida(9/16/2015)
RR
Georgia(9/16/2015)
RR
Idaho(9/16/2015)
RR
Illinois(9/16/2015)
RR
Indiana(9/16/2015)
RR
Iowa(9/16/2015)
RR
Kansas(9/16/2015)
RR
Kentucky(9/16/2015)
RR
Louisiana(9/16/2015)
RR
Maine(9/16/2015)
RR
Maryland(9/16/2015)
RR
Massachusetts(9/16/2015)
RR
Michigan(9/16/2015)
RR
Minnesota(9/16/2015)
RR
Mississippi(9/16/2015)
RR
Missouri(9/16/2015)
RR
Montana(9/16/2015)
RR
Nebraska(9/16/2015)
RR
Nevada(9/16/2015)
RR
New Hampshire(9/16/2015)
RR
New Jersey(9/16/2015)
RR
New Mexico(9/16/2015)
RR
New York(1/14/2014)
RR
North Carolina(9/16/2015)
RR
North Dakota(9/16/2015)
RR
Ohio(9/16/2015)
RR
Oklahoma(9/16/2015)
RR
Oregon(9/16/2015)
RR
Pennsylvania(9/16/2015)
RR
Rhode Island(9/16/2015)
RR
South Carolina(9/16/2015)
RR
Tennessee(9/16/2015)
RR
Texas(9/16/2015)
RR
Utah(9/16/2015)
RR
Vermont(9/16/2015)
RR
Virginia(9/16/2015)
RR
Washington(9/16/2015)
RR
West Virginia(9/16/2015)
RR
Wisconsin(9/16/2015)
RR
Wyoming(9/16/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC
CRD#: 138348 / SEC#: , 8-67160
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GCM GROSVENOR L.P. | SOLE MEMBER | 108654 |
| DANIEL, DAWNA LYNNE | CHIEF COMPLIANCE OFFICER | 5137048 |
| HENRICH, DIANNA LEA | MANAGING DIRECTOR | 4695780 |
| MONTGOMERY, BURKE JOHNSON | GENERAL COUNSEL | 5067591 |
| SACKS, MICHAEL JAY | MANAGER/CHIEF EXECUTIVE OFFICER | 2077424 |
| SULLIVAN, KATHLEEN PATRICIA | FINANCIAL AND OPERATIONS PRINCIPAL | 5099521 |
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.
