Pieter A. Van Der Werff
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.
Pieter Adriaan Van Der Werff was a registered financial professional .
Pieter is a previously registered financial professional and started their career in finance in 2018. Pieter had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2018 - September 23, 2020
RABO SECURITIES USA, INC.
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
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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