Peter J. Auzers
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 Julijs Auzers, who also goes by Peter J Auzers, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1977. Peter had worked at 10 firms and has passed the Series 63, Series 7, Series 8, Series 53 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
April 30, 2013 - March 28, 2014
CANTOR FITZGERALD & CO.
November 4, 2010 - May 10, 2013
WEDBUSH SECURITIES INC.
October 23, 2009 - October 25, 2010
CHARLES SCHWAB & CO., INC.
March 1, 2006 - June 26, 2008
RBC CAPITAL MARKETS, LLC
February 6, 1992 - January 19, 2006
NATIONAL FINANCIAL SERVICES LLC
June 21, 1991 - January 20, 1992
TITUS & DONNELLY LLC
September 27, 1989 - November 16, 1990
SUTRO & CO. INCORPORATED
May 23, 1980 - November 25, 1981
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
September 16, 1977 - July 13, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1977 - September 16, 1977
BACHE HALSEY STUART 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
Series 8
Date: 5/22/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
