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PO

Peter E. Owen

NATISA SECURITIES LLC
Westchester, IL 60154
Some features on this profile are disabled
CRD#: 5657792
PO

Professional summary

Peter Eugean Owen, who also goes by Peter E Owen, Peter Owen, is a registered financial professional currently at NATISA SECURITIES LLC located in Westchester, Illinois.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2010. Peter has worked at 5 firms and has passed the Series 66, Series 7TO, Series 57TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter E Owen | Peter Owen

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 Eugean Owen'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

November 17, 2023 - Present

NATISA SECURITIES LLC

Office #1: 11221 Summerdale St, Westchester, IL 60154
BD
CRD#: 323904
Westchester, IL
Past

July 2, 2018 - July 1, 2020

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

January 6, 2015 - December 31, 2020

OWEN CONSULTING & FINANCIAL SERVICES, INC.

RIA
CRD#: 172502
RIVERSIDE, IL
Past

February 21, 2013 - October 24, 2018

ANDRIE TRADING LLC

BD
CRD#: 101500
CHICAGO, IL
Past

April 28, 2010 - July 12, 2011

HS & CO., INC.

BD
CRD#: 42612
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

State Security Law Exam
RR
IAR
Series 66
Date: 8/16/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/15/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 7/15/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/15/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATISA SECURITIES LLC
NATISA SECURITIES LLC

CRD#: 323904 / SEC#: , 8-71010

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

Main Address
11221 Summerdale St, Westchester, IL 60154
Mailing Address
11221 Summerdale St, Westchester, IL 60154
Phone number
(312) 914-9431
Established
Illinois since 05/02/2022
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HERMOSA HOLDINGS LLCPARENT COMPANY
BRENNAN, THOMAS PETERPRINCIPAL & CHIEF EXECUTIVE OFFICER2672134
OWEN, PETER EUGEANFINOP PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER5657792
SPIROFF, PATRICK GEORGECHIEF COMPLIANCE OFFICER2003622

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

NATISA SECURITIES LLC

CRD#: 323904Westchester, IL 60154

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