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PS

Peter D. Sovia

HENLEY & COMPANY LLC
Blue Bell, PA 19422
Some features on this profile are disabled
CRD#: 6254053
PS

Professional summary

Peter Daniel Sovia is a registered financial professional currently at HENLEY & COMPANY LLC located in Blue Bell, Pennsylvania.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2014. Peter has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 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 Peter Daniel Sovia'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

November 28, 2017 - Present

HENLEY & COMPANY LLC

Office #1: 610 Sentry Parkway Suite 100, Blue Bell, PA 19422
BD
CRD#: 131453
Blue Bell, PA
Past

July 8, 2014 - November 27, 2017

PETERSEN INVESTMENTS, INC.

BD
CRD#: 38537
BLUE BELL, PA

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
Pennsylvania
(11/28/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HENLEY & COMPANY LLC
HENLEY & COMPANY LLC

CRD#: 131453 / SEC#: , 8-66463

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

Main Address
506 Rxr Plaza, Uniondale, NY 11556
Mailing Address
506 Rxr Plaza, Uniondale, NY 11556
Phone number
(516) 794-5520
Established
New York since 03/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
GEMINO, FRANCIS PATRICKPRESIDENT; CEO; MANAGING MEMBER219616
ALBANESE, JAMES JOSEPHSENIOR VICE PRESIDENT, ROSFP1699997
FORTINO, ROBERT ANTHONYFINOP1905741
GERMANO-ALESSI, MARIA TERESACHIEF COMPLIANCE OFFICER4404986
LADERER, MICHAEL JOHNMANAGING DIRECTOR1436877

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

HENLEY & COMPANY LLC

CRD#: 131453Blue Bell, PA 19422

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