Peter A. Rumsey
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 Anthony Rumsey JR, who also goes by Peter Anthony Rumsey Jr, Peter Anthony Rumsey, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1977. Peter had worked at 14 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2024 - December 18, 2024
INTERNATIONAL ASSETS ADVISORY, LLC
September 17, 2019 - December 22, 2023
KOVACK SECURITIES INC.
December 10, 2015 - September 21, 2019
IFS SECURITIES
January 31, 2003 - December 31, 2015
CADARET, GRANT & CO., INC.
November 16, 1994 - February 21, 2003
YANKEE FINANCIAL GROUP, INC.
March 20, 1992 - October 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 17, 1990 - March 19, 1992
LEHMAN BROTHERS INC.
February 2, 1988 - January 12, 1990
GLEACHER & COMPANY SECURITIES, INC.
June 3, 1987 - February 16, 1988
MOSELEY SECURITIES CORPORATION
July 30, 1981 - June 10, 1987
PRESCOTT, BALL & TURBEN, INC.
December 26, 1979 - August 11, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 1978 - November 12, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
November 18, 1977 - September 24, 1978
MOSELEY, HALLGARTEN & ESTABROOK INC
September 1, 1977 - July 15, 1985
ALL FUNDS, INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
