Peter G. Wolff
Professional summary
Peter Gerson Wolff is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1980. Peter has worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Gerson Wolff's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2008 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020February 2, 2007 - April 14, 2008
HSBC SECURITIES (USA) INC.
November 2, 2006 - January 22, 2007
AVIAN SECURITIES, LLC
March 26, 1999 - August 10, 2000
ABN AMRO SECURITIES LLC
March 3, 1994 - May 22, 1995
CREDIT SUISSE SECURITIES (USA) LLC
September 18, 1989 - January 10, 1994
KIDDER, PEABODY & CO. INCORPORATED
September 17, 1980 - December 8, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 3, 1980 - December 21, 1992
NOMURA SECURITIES INTERNATIONAL, 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
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Exams
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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