Desiderio Perez-mayo

COMMONWEALTH AUSTRALIA SECURITIES LLC

New York, NY 10022

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CRD#: 4645862

Professional summary

Desiderio Perez-mayo, who also goes by Desi Perez Mr., Desiderio Perez Mr., Desiderio Perez, Desiderio Perez-mayo Mr., Desiderio Perez-mayo, is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.

Desiderio is registered as a RR (Registered Representative) and started their career in finance in 2003. Desiderio has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Desi Perez Mr. | Desiderio Perez Mr. | Desiderio Perez | Desiderio Perez-Mayo Mr. | Desiderio Perez-Mayo

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 Desiderio Perez-mayo's 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

May 29, 2025 - Present

COMMONWEALTH AUSTRALIA SECURITIES LLC

Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022

CRD#: 136321

New York, NY

Past

March 1, 2023 - February 22, 2024

SMBC NIKKO SECURITIES AMERICA, INC.

CRD#: 28602

NEW YORK, NY

Past

November 16, 2011 - March 10, 2021

WELLS FARGO SECURITIES, LLC

CRD#: 126292

New York, NY

Past

June 19, 2003 - January 4, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

EDISON, NJ

Past

May 20, 2003 - January 4, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 20, 2003 - January 4, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/29/2025)

Exams

State Security Law Exam

Series 63

Date: 10/20/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/16/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/19/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/18/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

COMMONWEALTH AUSTRALIA SECURITIES LLC

COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC

CRD#: 136321 / SEC#: , 8-66998

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

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Contact information

Main Address

599 Lexington Avenue 30th Fl, New York, NY 10022

Mailing Address

599 Lexington Avenue 30th Fl, New York, NY 10022

Phone number

(212) 848-9200

Established

Delaware since 05/10/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
COMMONWEALTH BANK 0F AUSTRALIA	SOLE MEMBER
FELDMAN, RICHARD MARK	PFO	2273453
LAWRENCE, LARRY O	CEO	4237420
POULTON, JAYSON ALAN	CFO & POO	6738733
VARALLI MCCLELLAND, ANN LOUISE	PRINCIPAL - FIXED INCOME	1043191
WALSH, PAUL ROBERT	CHIEF COMPLIANCE OFFICER	3189041
WINTERS, JENNIFER	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	2604316

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Desiderio Perez-mayo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Desiderio Perez-mayo's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMBC NIKKO SECURITIES AMERICA, INC.

WELLS FARGO SECURITIES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/20/2011

Series 66

Date: 6/16/2003

SIE

Date: 10/1/2018

Series 79

Date: 9/19/2011

Series 7

Date: 5/18/2003

FINRA

Current Firm

COMMONWEALTH AUSTRALIA SECURITIES LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COMMONWEALTH AUSTRALIA SECURITIES LLC

TRUST BUT VERIFY

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