Peter J. Spadaccini
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 Spadaccini, who also goes by Peter Joseph Spadaccini, Peter Joseph Spadeccini, Pete Spats, Peter Spats, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 6 firms and has passed the Series 63, Series 1, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2010 - November 5, 2012
THINKEQUITY LLC
May 1, 2001 - September 21, 2010
BMO CAPITAL MARKETS CORP.
August 27, 1998 - May 29, 2001
ABN AMRO SECURITIES LLC
May 9, 1975 - November 25, 1997
DEUTSCHE BANK SECURITIES INC.
January 4, 1973 - December 1, 1974
AUERBACH POLLACK & RICHARDSON INC
August 1, 1972 - December 31, 1972
TUCKER ANTHONY INCORPORATED
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 1
Date: 7/31/1972
Registered Representative ExaminationCurrent Firm
THINKEQUITY LLC
CRD#: 44274 / SEC#: 801-63835, 8-50602
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKEQUITY HOLDINGS LLC | HOLDING COMPANY OF THINKEQUITY LLC | |
| ARMSTRONG, MICHAEL BENJAMIN | CHIEF OPERATING OFFICER OF RESEARCH | 2806297 |
| BRITT, HARRIET JAYNE | CHIEF COMPLIANCE OFFICER | 1429634 |
| GONSALVES, DOUGLAS RONALD | HEAD OF INVESTMENT BANKING | 2356831 |
| HANSEN, HOLLY JOY | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | 2169008 |
| JOHNSTON, PHILIP MURRAY | HEAD OF SALES TRADING | 1730461 |
| MACHIN, FRANCISCO JAVIER | CONTROLLER/FINOP | 4698240 |
| MONOPOLI, JACK GIACOMO | HEAD OF TRADING | 1718078 |
| NOLLENBERGER, BRUCE WESTON | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | 823846 |
| RAJ, DEEPAK DEV | EXECUTIVE VICE PRESIDENT | 2817606 |
| WEITGENANT, DAVID ANDREW | CROP & SROP | 2096196 |
| WRIGHT, GREGORY LANCE | CHIEF EXECUTIVE OFFICER | 1564124 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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