Peter F. Vicari
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 Frank Vicari was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1975. Peter had worked at 6 firms and has passed the Series 7, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1996 - December 31, 1998
MF GLOBAL INC.
September 19, 1994 - September 6, 1996
COWEN AND COMPANY
February 24, 1981 - November 30, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
May 12, 1980 - October 2, 1981
ANGELES SECURITIES CORPORATION
July 13, 1978 - July 21, 1979
BECKER PARIBAS INCORPORATED
January 7, 1975 - February 1, 1979
BECKER SECURITIES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 40
Date: 6/2/1977
Registered Principal ExaminationCurrent Firm
MF GLOBAL INC.
CRD#: 6731 / SEC#: , 8-18104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MF GLOBAL HOLDING USA INC | SHAREHOLDER | |
| ABELOW, BRADLEY IRA | DIRECTOR AND EVP | 1983124 |
| CORZINE, JON STEVENS | PRESIDENT AND CEO | 811812 |
| FERBER, LAURIE RUTH | DIRECTOR | 1687254 |
| FORLENZA, PETER CHARLES | SENIOR VICE PRESIDENT | 2366985 |
| LOWERY-WHILLE, TRACY ANN | CHIEF COMPLIANCE OFFICER AND SVP | 2872693 |
| MACDONALD, JOHN RANALD | DIRECTOR AND EVP | 2540475 |
| SERWINSKI, CHRISTINE ANN | CFO & FINOP & SVP | 4169392 |
Disclosures
| Regulatory Event | 37 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
