Peter V. Daniel
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 Vivian Daniel, who also goes by Peter VIvian Daniel, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1978. Peter had worked at 14 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2011 - January 12, 2012
OPPENHEIMER & CO. INC.
June 10, 2010 - March 10, 2011
CF GLOBAL TRADING, LLC
May 11, 2009 - November 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2008 - April 17, 2009
J.P. MORGAN SECURITIES LLC
November 14, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 8, 2002 - January 4, 2007
KEEFE, BRUYETTE & WOODS, INC.
September 4, 1998 - October 23, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
June 29, 1998 - August 7, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
September 1, 1993 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
February 27, 1991 - September 2, 1993
BANC OF AMERICA SECURITIES LLC
March 5, 1986 - October 31, 1990
SALOMON BROTHERS INC.
August 20, 1984 - January 9, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1978 - August 27, 1984
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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 15
Date: 3/21/1984
Foreign Currency Options ExaminationSeries 5
Date: 1/22/1982
Interest Rate Options ExaminationSeries 12
Date: 1/30/1981
NYSE Branch Manager ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
