Peter J. Depaola
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 Julian Depaola was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2003. Peter had worked at 3 firms and has passed the Series 49 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2023 - August 31, 2023
DINOSAUR FINANCIAL GROUP, L.L.C
May 31, 2007 - December 18, 2023
DE PAOLA TRADING, INC.
October 21, 2003 - September 10, 2007
B&W GLOBAL LLC
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 49
Date: 6/1/2011
AMEX Floor Broker ExamCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
