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Peter Garguilo

THINK ALPHA SECURITIES
Princeton, NJ 08540
Some features on this profile are disabled
CRD#: 3175793
PG

Professional summary

Peter Garguilo is a registered financial professional currently at THINK ALPHA SECURITIES, LLC located in Princeton, New Jersey.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1999. Peter has worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55 and Series 7 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 Garguilo's CRS (Customer Relationship Summary).
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 1, 2024 - Present

THINK ALPHA SECURITIES, LLC

Office #1: 116 Commons Way Building 1, Suite 166, Princeton, NJ 08540
BD
CRD#: 300679
Princeton, NJ
Past

November 1, 2001 - March 14, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 18, 1999 - November 5, 2001

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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 Jersey
(3/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/24/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/23/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 2/16/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/17/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TA
THINK ALPHA SECURITIES, LLC
THINK ALPHA FINANCIAL, LLC | TRADINGALPHA | THINK ALPHA SECURITIES, LLC

CRD#: 300679 / SEC#: , 8-70292

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

Main Address
116 Commons Way Building 1, Suite 116, Princeton, NJ 08540
Mailing Address
116 Commons Way Suite 116, Princeton, NJ 08540
Phone number
(856) 389-3331
Established
Delaware since 02/06/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THINK ALPHA HOLDINGS,LLCOWNER
WEDBUSH FINANCIAL SERVICES INC.MEMBER
BIRCH, LAWRENCE TERRYCHIEF EXECUTIVE OFFICER1692733
CHOE, EUGENE ANTHONYCHIEF COMPLIANCE OFFICER2155125
FELDMAN, RICHARD MARKFINOP2273453

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

THINK ALPHA SECURITIES, LLC

CRD#: 300679Princeton, NJ 08540

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