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CP

Carl M. Peller

DV EQUITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 5037772
CP

Professional summary

Carl Matthew Peller is a registered financial professional currently at DV EQUITIES located in Chicago, Illinois.

Carl is registered as a RR (Registered Representative) and started their career in finance in 2011. Carl has worked at 6 firms and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Carl Matthew Peller'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

August 30, 2021 - Present

DV EQUITIES

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 312688
Chicago, IL
Past

August 24, 2020 - August 30, 2021

DV SECURITIES, LLC

BD
CRD#: 305134
CHICAGO, IL
Past

November 24, 2014 - September 25, 2020

LUPO SECURITIES, LLC

BD
CRD#: 43761
CHICAGO, IL
Past

October 29, 2013 - December 2, 2014

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

May 17, 2012 - November 1, 2013

DRO-WST TRADING, LLC

BD
CRD#: 121439
CHICAGO, IL
Past

July 15, 2011 - June 12, 2012

SPARTA GROUP OF CHICAGO, L.P.

BD
CRD#: 41333
CHICAGO, IL

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DE
DV EQUITIES
DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC

CRD#: 312688 / SEC#: , 8-70659

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

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 12/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESDIRECTOR OF FIXED INCOME/TRADING PRINCIPAL2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER7166902

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

DV EQUITIES

CRD#: 312688Chicago, IL 60605

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