Peter J. Gombocz
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 Joseph Gombocz, who also goes by Peter Joseph Gombocz Mr., Peter Gombocz, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2007. Peter had worked at 5 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2020 - December 9, 2020
GLOBAL ALLIANCE SECURITIES LLC
October 29, 2015 - August 22, 2017
CANTOR FITZGERALD & CO.
August 17, 2011 - December 12, 2013
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
March 25, 2008 - November 11, 2011
CANACCORD GENUITY LLC
April 2, 2007 - April 4, 2007
G1 EXECUTION SERVICES, 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 37
Date: 3/9/2007
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
GLOBAL ALLIANCE SECURITIES LLC
CRD#: 167164 / SEC#: , 8-69244
Contact information
FINRA licenses (34 States and Territories)
Red Flags
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