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PT

Peter G. Timony

PUMA CAPITAL
Rye, NY 10580
Some features on this profile are disabled
CRD#: 3023008
PT

Professional summary

Peter Gerard Timony, who also goes by Peter G Timony, is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1998. Peter has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 25, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter G Timony

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 Gerard Timony'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

March 28, 2017 - Present

PUMA CAPITAL, LLC

Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
BD
CRD#: 146744
Rye, NY
Past

June 21, 2016 - March 23, 2017

QUATTRO M SECURITIES INC.

BD
CRD#: 39289
NEW YORK, NY
Past

April 25, 2016 - March 21, 2017

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

January 12, 2012 - May 16, 2016

CLANCY FINANCIAL SERVICES, INC.

BD
CRD#: 133379
NEW YORK, NY
Past

October 27, 2010 - May 20, 2016

DERMOTT W. CLANCY CORP.

BD
CRD#: 37451
NEW YORK, NY
Past

June 25, 2003 - November 3, 2010

JOHN N. SEIP & CO., INC.

BD
CRD#: 35501
NEW YORK, NY
Past

April 22, 1998 - June 17, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
Florida
(3/28/2017)
RR
New Jersey
(3/28/2017)
RR
New York
(3/28/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/15/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 6/20/2000
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/2/2009
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/7/2007
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PC
PUMA CAPITAL, LLC
PUMA CAPITAL, LLC

CRD#: 146744 / SEC#: , 8-67849

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

Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Phone number
(212) 269-4100
Established
Florida since 02/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
COUGAR FINANCIAL HOLDINGS LLCMEMBER
HB-PUMA, LLCMEMBER
GREENSTEIN, JOSHUA AARONCEO2522805
GROSS, MARC JONATHANCFO, FINOP2974706
GUTSHALL, MICHAEL SEELEYCCO2505395
HENCORP BECSTONE, LCMEMBER
TIMONY, PETER GERARDCOO3023008

Disclosures

Regulatory Event7

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

PUMA CAPITAL, LLC

CRD#: 146744Rye, NY 10580

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