Peter C. Caporino
Professional summary
Peter C Caporino, who also goes by Peter Carl Caporino Jr, Peter Carl Caporino, Peter Caporino, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in New York City, New York and FIDELITY PRIME FINANCING located in New York City, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2000. Peter has worked at 7 firms and has passed the Series 63, Series 6TO, Series 99TO, Series 57TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter C Caporino's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2007 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019May 8, 2025 - Present
FIDELITY PRIME FINANCING
Office #1: 640 Fifth Avenue, New York City, NY 10019December 14, 2006 - February 28, 2007
FIDELITY BROKERAGE SERVICES LLC
March 2, 2006 - December 12, 2006
FIDELITY BROKERAGE SERVICES LLC
October 6, 2004 - December 14, 2006
NATIONAL FINANCIAL SERVICES LLC
April 8, 2002 - September 3, 2003
UBS FINANCIAL SERVICES INC.
July 11, 2000 - November 26, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 17, 2000 - May 25, 2000
MORGAN STANLEY DW INC.
March 10, 2000 - May 9, 2000
PRUCO SECURITIES, 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
(5/8/2025)
(2/28/2007)
Exams
Series 6TO
Date: 5/8/2025
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY PRIME FINANCING
CRD#: 299736 / SEC#: , 8-70261
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | OWNER | |
| CREEDON, ADAM | CHIEF COMPLIANCE OFFICER | 5417517 |
| HUNT, JON PETER | DIRECTOR | 2270130 |
| MARCHUK, ANTON V | ELECTED MANAGER | 4002432 |
| REMMES, GREGORY JOHN | PRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER | 2169049 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| RICHARD, STEPHEN ROBERT | PRESIDENT; ELECTED MANAGER | 3113456 |
| RYAN, KRISTA | C.L.O.; SECRETARY | |
| TESAURO, THOMAS JOHN | C.E.O., ELECTED MANAGER | 1862532 |
Red Flags
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