Peipei An
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.
Peipei An was a registered financial professional .
Peipei is a previously registered financial professional and started their career in finance in 2017. Peipei had worked at 10 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2018 - September 9, 2019
CASTLEOAK SECURITIES, LP
May 10, 2018 - September 9, 2019
SUNRISE BROKERS LLC
May 10, 2018 - September 9, 2019
MINT BROKERS
May 10, 2018 - September 9, 2019
FMX EXECUTION, LLC
May 10, 2018 - September 9, 2019
GFI SECURITIES LLC
May 10, 2018 - September 9, 2019
CFWP SECURITIES, LLC
May 10, 2018 - September 9, 2019
CF SECURED, LLC
May 10, 2018 - September 9, 2019
BGC FINANCIAL, L.P.
May 10, 2018 - September 9, 2019
AQUA SECURITIES L.P.
December 19, 2017 - September 9, 2019
CANTOR FITZGERALD & CO.
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
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
