Peter M. Sousa

IM GLOBAL US DISTRIBUTORS LLC

El Segundo, CA 90245

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CRD#: 4254630

Professional summary

Peter Michael Sousa, CIMA® is a registered financial professional currently at IM GLOBAL US DISTRIBUTORS LLC located in El Segundo, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2000. Peter has worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Michael Sousa'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 3, 2021 - Present

IM GLOBAL US DISTRIBUTORS LLC

Office #1: 2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245

CRD#: 299892

El Segundo, CA

Past

October 23, 2015 - June 2, 2021

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Walnut Creek, CA

Past

December 21, 2010 - December 13, 2011

BLACKROCK FUND ADVISORS

RIA

CRD#: 105247

SAN FRANCISCO, CA

Past

December 21, 2010 - December 13, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

SAN FRANCISCO, CA

Past

September 23, 2008 - December 22, 2010

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

September 23, 2008 - December 22, 2010

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

September 22, 2008 - October 7, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

SAN FRANCISCO, CA

Past

February 14, 2008 - October 7, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

SAN FRANCISCO, CA

Past

June 8, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

SAN FRANCISCO, CA

Past

May 16, 2002 - June 13, 2005

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 8, 2001 - April 23, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 19, 2000 - May 10, 2001

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(6/3/2021)

Alaska
(6/3/2021)

Arizona
(6/3/2021)

Arkansas
(6/3/2021)

California
(6/3/2021)

Colorado
(6/3/2021)

Connecticut
(6/3/2021)

Delaware
(6/3/2021)

District of Columbia
(6/3/2021)

Florida
(6/3/2021)

Georgia
(6/3/2021)

Hawaii
(6/3/2021)

Idaho
(6/3/2021)

Illinois
(6/3/2021)

Indiana
(6/3/2021)

Iowa
(6/3/2021)

Kansas
(6/3/2021)

Kentucky
(6/3/2021)

Louisiana
(6/3/2021)

Maine
(6/3/2021)

Maryland
(6/3/2021)

Massachusetts
(6/3/2021)

Michigan
(6/3/2021)

Minnesota
(6/3/2021)

Mississippi
(6/3/2021)

Missouri
(6/3/2021)

Montana
(6/3/2021)

Nebraska
(6/3/2021)

Nevada
(6/3/2021)

New Hampshire
(6/3/2021)

New Jersey
(6/3/2021)

New Mexico
(6/3/2021)

New York
(6/3/2021)

North Carolina
(6/3/2021)

North Dakota
(6/3/2021)

Ohio
(6/3/2021)

Oklahoma
(6/3/2021)

Oregon
(6/3/2021)

Pennsylvania
(6/3/2021)

Puerto Rico
(6/3/2021)

Rhode Island
(6/3/2021)

South Carolina
(6/3/2021)

South Dakota
(6/3/2021)

Tennessee
(3/11/2024)

Texas
(6/3/2021)

Utah
(6/3/2021)

Vermont
(6/3/2021)

Virginia
(6/3/2021)

Washington
(6/3/2021)

West Virginia
(6/3/2021)

Wisconsin
(6/3/2021)

Wyoming
(6/3/2021)

Exams

State Security Law Exam

Series 63

Date: 8/4/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/7/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/23/2015

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 12/18/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892 / SEC#: , 8-70266

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245

Mailing Address

2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245

Phone number

(323) 238-4518

Established

Delaware since 12/05/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
IM GLOBAL PARTNER SAS	PARENT COMPANY
KELLY, JOSEPH PETER II	CHIEF COMPLIANCE OFFICER	6268052
SCARPATI, GERARD	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	2313132
SEELEY, JEFFREY KENT	PRINCIPAL, CHIEF OPERATING OFFICER	2539223

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.

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Advisor Monitoring

Firm Stability Insights

Peter M. Sousa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Michael Sousa's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

BLACKROCK FUND ADVISORS

BLACKROCK FUND DISTRIBUTION COMPANY

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

ROBERTSON STEPHENS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2016

Series 66

Date: 2/7/2001

SIE

Date: 10/1/2018

Series 6

Date: 10/23/2015

Series 7

Date: 12/18/2000

FINRA

Current Firm

IM GLOBAL US DISTRIBUTORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

IM GLOBAL US DISTRIBUTORS LLC

TRUST BUT VERIFY

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