Peggy E. Chait
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.
Peggy Elizabeth Chait, who also goes by Peggy Elizabeth Glasser, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1981. Peggy had worked at 23 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27, Series 14, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2021 - October 3, 2023
DAM CAPITAL (USA) INC.
October 25, 2018 - March 14, 2019
PEI GLOBAL PARTNERS LLC
June 10, 2016 - December 7, 2017
PREP SECURITIES, LLC
September 30, 2013 - June 2, 2014
SENAHILL SECURITIES, LLC
June 7, 2013 - June 11, 2013
WOMBAT CAPITAL MARKETS LLC
June 9, 2011 - August 12, 2011
FOREST ROAD SECURITIES BD LLC
January 18, 2011 - March 9, 2012
SOFI SECURITIES LLC
April 30, 2010 - December 31, 2010
INTE SECURITIES LLC
December 13, 2007 - February 14, 2008
MOELIS & COMPANY LLC
July 26, 2006 - September 1, 2006
SLL SECURITIES INC
August 31, 2005 - March 21, 2006
PHOENIX DERIVATIVES GROUP, LLC
March 1, 2005 - February 20, 2007
FURTHER LANE SECURITIES, L.P.
January 11, 2005 - May 26, 2006
SPARX SECURITIES, USA, LLC
October 12, 2004 - January 8, 2007
AGM SECURITIES LLC
September 28, 2004 - March 9, 2009
STONECASTLE SECURITIES, LLC
July 2, 2004 - January 17, 2007
VISTA RESEARCH BROKERAGE, INC.
June 4, 2004 - February 25, 2008
ABRAMSON FINANCIAL, LLC
May 24, 2004 - April 15, 2005
AIDS PREVENTION FUND, INC.
October 17, 2003 - November 20, 2006
HEALTHPOINTCAPITAL ADVISORS, LLC
August 21, 1998 - March 5, 2003
DIRECT BROKERAGE, INC.
January 18, 1995 - April 26, 1995
PACESETTER 1, L.P.
April 22, 1988 - December 17, 1992
INVESTMENT PARTNERS, INC.
April 13, 1981 - July 28, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/28/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DAM CAPITAL (USA) INC.
CRD#: 154945 / SEC#: , 8-68685
Contact information
FINRA licenses (11 States and Territories)
Documents
Red Flags
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