AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PR

Peter Rinaldi

BMO CAPITAL MARKETS
New York, NY 10036
Some features on this profile are disabled
CRD#: 4746369
PR

Professional summary

Peter Rinaldi, who also goes by Peter J Rinaldi, Peter J. Rinaldi, Peter Joseph Rinaldi, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York and CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2004. Peter has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter J Rinaldi | Peter J. Rinaldi | Peter Joseph Rinaldi

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 Peter Rinaldi'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

July 11, 2025 - Present

BMO CAPITAL MARKETS CORP.

Office #1: 151 West 42nd St, New York, NY 10036
BD
CRD#: 16686
New York, NY
Current

December 22, 2025 - Present

CLEARPOOL EXECUTION SERVICES, LLC

Office #1: 151 West 42nd Street, New York, NY 10036
BD
CRD#: 168490
New York, NY
Past

May 26, 2010 - October 27, 2010

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

April 22, 2008 - May 26, 2010

BELLEVUE CHICAGO, LLC

BD
CRD#: 106069
NEEDHAM, MA
Past

October 31, 2006 - October 4, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
NEWTON, MA
Past

October 30, 2006 - October 4, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
NEWTON, MA
Past

May 22, 2006 - October 30, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BOSTON, MA
Past

April 24, 2006 - October 30, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BOSTON, MA
Past

January 30, 2004 - March 1, 2006

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/12/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/11/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/23/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/29/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/2025
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

CE
CLEARPOOL EXECUTION SERVICES, LLC
CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
17 State Street 38th Floor, New York, NY, 10004
Mailing Address
17 State Street 38th Floor, New York, NY, 10004
Phone number
(212) 531-8500
Established
New York since 05/07/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINOP3028843
FORLENZA, MICHAELPRESIDENT5886049
WALISEVER, ARICHIEF COMPLIANCE OFFICER4425793
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904

Disclosures

Regulatory Event19

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.

Company Information

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490New York, NY 10036

TRUST BUT VERIFY

Monitor Peter Rinaldi

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
STRATEGIC ADVISERS LLC
IAR
RR
RIDGEWOOD, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.