Peter Rallis
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 Rallis, who also goes by Peter Rallis Jr, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1980. Peter had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2011 - July 5, 2019
TD AMERITRADE, INC.
January 26, 2010 - February 3, 2011
ROCKFLEET FINANCIAL SERVICES, INC
September 14, 2007 - May 5, 2009
SOVEREIGN SECURITIES CORPORATION, LLC
January 16, 2006 - April 18, 2007
UBS SECURITIES LLC
November 21, 1980 - January 16, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
