PS
Peter C. Singagliese
NEEDHAM & COMPANY
New York, NY 10177
Some features on this profile are disabled
CRD#: 3020503
PS
Professional summary
Peter Christopher Singagliese is a registered financial professional currently at NEEDHAM & COMPANY, 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 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Christopher Singagliese'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
April 29, 2021 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Past
October 24, 2005 - August 31, 2020
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
February 6, 2004 - November 4, 2005
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
April 16, 2003 - February 6, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 30, 1998 - January 24, 2003
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
California(4/29/2021)
RR
Massachusetts(4/29/2021)
RR
New Jersey(12/18/2024)
RR
New York(4/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/26/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Park Avenue 10th Floor, New York, NY 10177
Mailing Address
250 Park Avenue 10th Floor, New York, NY 10177
Phone number
(212) 371-8300
Established
Delaware since 04/04/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
185
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEEDHAM HOLDINGS, LLC | MEMBER | |
| IACOVONE, JACK JAMES | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 2877398 |
| PRIOR, JOHN JOSEPH JR | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 1076802 |
| ABBRUZZESE, JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 2960715 |
| FIORDALISO, ROBERT JOSEPH | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 2518397 |
| LAUFER, DAVID MICHAEL | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 4336854 |
| MALIK, ANDREW JOSEPH | MANAGING DIRECTOR, CHAIRMAN | 317860 |
| MALLOY, JOHN PATRICK | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 5322002 |
| MALONEY, THOMAS ANTHONY | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 2386331 |
| MERLINO, SALVATORE ANTHONY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 4397078 |
Disclosures
| Regulatory Event | 27 |
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.
