Peter A. Mazzara
Professional summary
Peter Anthony Mazzara was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Peter had worked at 5 firms, which includes CALDWELL INTERNATIONAL SECURITIES, WATERSTONE FINANCIAL GROUP INC., SPIKE FINANCIAL SERVICES LLC, VANGUARD CAPITAL, WOODBURY FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2004 - July 22, 2005
CALDWELL INTERNATIONAL SECURITIES
November 13, 2003 - November 2, 2004
WATERSTONE FINANCIAL GROUP, INC.
August 25, 2003 - November 3, 2003
SPIKE FINANCIAL SERVICES, LLC
March 4, 2003 - July 22, 2003
WATERSTONE FINANCIAL GROUP, INC.
November 9, 2001 - May 16, 2002
VANGUARD CAPITAL
January 1, 2001 - October 26, 2001
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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