Peter Spinelli
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 Spinelli was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 1 firm and has passed the Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1997 - March 26, 2007
VAN DER MOOLEN SPECIALISTS USA, LLC
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 21
Date: 8/22/2002
NYSE Front Line Specialist ClerkSeries 25
Date: 6/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
VAN DER MOOLEN SPECIALISTS USA, LLC
CRD#: 32034 / SEC#: , 8-12358
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILL BRIDGE IV, LLC | MEMBER, MANAGEMENT COMMITTEE MEMBER | |
| DEN DRIJVER, RICHARD EDWARD | MANAGEMENT COMMITTEE REPRESENTATIVE OF MILL BRIDGE IV, LLC | 5147976 |
| FLOYD-JONES, WILLIAM | MANAGEMENT COMMITTEE MEMBER, GENERAL COUNSEL & SECRETARY | 4967225 |
| VROLING, PAULUS WILLIBRORDUS | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER & MANAGEMENT COMMITTEE MEMBER | 5248326 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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