Gary W. Peters

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 4514539

Professional summary

Gary William Peters, who also goes by Gary W Peters, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York and MIZUHO SECURITIES USA LLC located in New York, New York.

Gary is registered as a RR (Registered Representative) and started their career in finance in 2003. Gary has worked at 9 firms and has passed the Series 16 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Gary W Peters

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 Gary William Peters's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 25, 2020 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Current

April 17, 2023 - Present

MIZUHO SECURITIES USA LLC

Office #1: 1271 Avenue Of The Americas, New York, NY 10020

CRD#: 19647

NEW YORK, NY

Current

January 23, 2026 - Present

NEEDHAM & COMPANY, LLC

Office #1: 250 Park Avenue 10th Floor, New York, NY 10177

RIA

CRD#: 16360

New York, NY

Past

November 25, 2024 - May 29, 2025

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

August 23, 2019 - October 2, 2020

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

February 11, 2016 - June 12, 2019

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

September 8, 2015 - December 17, 2015

PEEL HUNT INC.

CRD#: 157321

LONDON,

Past

March 7, 2011 - September 18, 2013

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 11, 2007 - March 1, 2011

ING FINANCIAL MARKETS LLC

CRD#: 28872

NEW YORK, NY

Past

May 20, 2003 - September 14, 2006

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 16

Date: 5/19/2003

NYSE Supervisory Analyst Examination

SRO Registrations

FINRA

Current Firm

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

250 Park Avenue 10th Floor, New York, NY 10177

Mailing Address

250 Park Avenue 10th Floor, New York, NY 10177

Phone number

(212) 371-8300

Established

Delaware since 04/04/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

185

SEC notice filing (5 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEEDHAM HOLDINGS, LLC	MEMBER
IACOVONE, JACK JAMES	MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING	2877398
PRIOR, JOHN JOSEPH JR	MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.	1076802
ABBRUZZESE, JAMES MICHAEL	MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES	2960715
FIORDALISO, ROBERT JOSEPH	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER	2518397
LAUFER, DAVID MICHAEL	MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING	4336854
MALIK, ANDREW JOSEPH	MANAGING DIRECTOR, CHAIRMAN	317860
MALLOY, JOHN PATRICK	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	5322002
MALONEY, THOMAS ANTHONY	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	2386331
MERLINO, SALVATORE ANTHONY	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	4397078

Disclosures

Regulatory Event

Red Flags

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Gary W. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary William Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIZUHO SECURITIES USA LLC

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, LLC

GUGGENHEIM SECURITIES, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

PEEL HUNT INC.

GOLDMAN SACHS & CO. LLC

ING FINANCIAL MARKETS LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

NEEDHAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 16

Date: 5/19/2003

FINRA

Current Firm

NEEDHAM & COMPANY, LLC

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEEDHAM & COMPANY, LLC

TRUST BUT VERIFY

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