Peter Frank Vicari
Professional Summary
Peter Frank Vicari was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1975 - 1998. Peter had worked at 6 firms and has passed the Series 7, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
51 years in the financial services industry
Current & Past Employments
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Current Firm
E. D. & F. MAN INTERNATIONAL INC | MF GLOBAL SECURITIES INC. | MF GLOBAL INC. | MAN SECURITIES INC | MAN FINANCIAL INC | HEINOLD SECURITIES, INC. | GELDERMANN SECURITIES, INC. | E. D. & F. MAN INTERNATIONAL INC.
Contact Information
Established
Delaware since 06/04/2001Firm Type
CorporationFiscal Year End
MarchDocuments
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
37Civil Event
1Arbitration
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 40 — Registered Principal Examination
Passed Jun 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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