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PS

Peter M. Sousa

Some features on this profile are disabled
CRD#: 4254630
PS

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 Michael Sousa, CIMA® was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2000. Peter had 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"?
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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 3, 2021 - January 6, 2026

IM GLOBAL US DISTRIBUTORS LLC

BD
CRD#: 299892
EL SEGUNDO, CA
Past

October 23, 2015 - June 2, 2021

ALPS DISTRIBUTORS, INC.

BD
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

BD
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

BD
CRD#: 816
SAN FRANCISCO, CA
Past

September 22, 2008 - October 7, 2008

BARCLAYS CAPITAL INC.

BD
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.

BD
CRD#: 7506
SAN FRANCISCO, CA
Past

May 16, 2002 - June 13, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 8, 2001 - April 23, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

December 19, 2000 - May 10, 2001

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/7/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/23/2015
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2000
General Securities Representative Examination

Current Firm

IG
IM GLOBAL US DISTRIBUTORS LLC
IM GLOBAL US DISTRIBUTORS LLC

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

BD
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) 372-2266
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
IM GLOBAL PARTNER SASPARENT COMPANY
KELLY, JOSEPH PETER IICHIEF COMPLIANCE OFFICER, PRINCIPAL AND INTERIM CHIEF OPERATING OFFICER6268052
SCARPATI, GERARDFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2313132

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

IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892

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