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Peter Frederick Lang

CRD# 4282165·Registered 2000 - 2026
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter Frederick Lang was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 2000 - 2026. Peter had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

FINALIS SECURITIES LLC·CRD# 305908
BD
New York, NY
November 14, 2023 - April 17, 2026
BA SECURITIES, LLC·CRD# 153489
BD
W. Conshohocken, PA
March 25, 2021 - November 15, 2021
CHARDAN CAPITAL MARKETS LLC·CRD# 120128
BD
New York, NY
October 1, 2018 - June 5, 2019
HSBC SECURITIES (USA) INC.·CRD# 19585
BD
New York City, NY
March 7, 2016 - February 1, 2018
B. RILEY SECURITIES, INC.·CRD# 25027
BD
New York, NY
November 19, 2014 - January 27, 2016
LEERINK PARTNERS LLC·CRD# 39011
BD
New York, NY
October 19, 2012 - March 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
July 15, 2010 - December 8, 2011
MACQUARIE CAPITAL (USA) INC.·CRD# 36368
BD
New York, NY
January 6, 2009 - February 16, 2010
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
April 10, 2003 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
October 18, 2000 - March 24, 2003

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Current Firm

FS
FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: 8-70425
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

450 Lexington Ave, New York, NY 10017

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone Number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY—
BRANT, DAVID ROBERTFINOP2718478
MORA, MICHAEL JOHNCEO2648236
PRICE, STEVEN BENNETTCHIEF COMPLIANCE OFFICER5535145

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2000About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Feb 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

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CRS (Client Relationship Summary)

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

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