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Peter W. Allen

SEAPORT GLOBAL SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4981923
PA

Professional summary

Peter W Allen, who also goes by Peter Wilson Allen, Peter W Allen, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2010. Peter has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter Wilson Allen | Peter W Allen

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 W Allen's CRS (Customer Relationship Summary).
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

April 8, 2024 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 360 Madison Avenue 22nd Floor, New York, NY, 10017
BD
CRD#: 116270
New York, NY
Past

August 24, 2020 - March 7, 2024

STONEX FINANCIAL INC.

BD
CRD#: 45993
NEW YORK, NY
Past

November 17, 2015 - February 26, 2019

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, NY
Past

September 9, 2013 - November 30, 2015

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

October 19, 2012 - September 3, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

May 24, 2012 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

March 11, 2010 - January 23, 2012

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

January 1, 2010 - February 25, 2010

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(4/8/2024)
RR
Alaska
(4/8/2024)
RR
Arizona
(4/8/2024)
RR
Arkansas
(4/8/2024)
RR
California
(4/8/2024)
RR
Colorado
(4/8/2024)
RR
Connecticut
(4/8/2024)
RR
Delaware
(4/8/2024)
RR
District of Columbia
(4/8/2024)
RR
Florida
(4/8/2024)
RR
Georgia
(4/8/2024)
RR
Hawaii
(4/8/2024)
RR
Idaho
(4/8/2024)
RR
Illinois
(4/8/2024)
RR
Indiana
(4/8/2024)
RR
Iowa
(4/8/2024)
RR
Kansas
(4/8/2024)
RR
Kentucky
(4/8/2024)
RR
Louisiana
(4/8/2024)
RR
Maine
(4/8/2024)
RR
Maryland
(4/8/2024)
RR
Massachusetts
(4/8/2024)
RR
Michigan
(4/8/2024)
RR
Minnesota
(4/8/2024)
RR
Mississippi
(4/8/2024)
RR
Missouri
(4/8/2024)
RR
Montana
(4/8/2024)
RR
Nebraska
(4/8/2024)
RR
Nevada
(4/8/2024)
RR
New Hampshire
(4/8/2024)
RR
New Jersey
(4/8/2024)
RR
New Mexico
(4/8/2024)
RR
New York
(4/8/2024)
RR
North Carolina
(4/8/2024)
RR
North Dakota
(4/8/2024)
RR
Ohio
(4/16/2024)
RR
Oklahoma
(4/8/2024)
RR
Oregon
(4/8/2024)
RR
Pennsylvania
(4/8/2024)
RR
Puerto Rico
(4/8/2024)
RR
Rhode Island
(4/8/2024)
RR
South Carolina
(4/8/2024)
RR
South Dakota
(4/8/2024)
RR
Tennessee
(4/8/2024)
RR
Texas
(4/8/2024)
RR
Utah
(4/8/2024)
RR
Vermont
(4/8/2024)
RR
Virginia
(4/8/2024)
RR
Washington
(4/8/2024)
RR
West Virginia
(4/8/2024)
RR
Wisconsin
(4/8/2024)
RR
Wyoming
(4/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

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

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270New York, NY 10017

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