Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter A. Smaldino has over 24 years of experience in the financial services industry. Peter is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He is also a registered investment advisor representative in California and Texas. Peter has held previous positions with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Merrill Lynch. Peter has passed the Uniform Combined State Law Examination, the Securities Industry Essentials Examination, the Futures Managed Funds Examination, and the General Securities Representative Examination. Peter provides portfolio management services for individuals and businesses. Peter also provides pension consulting and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
06/01/2009 - 12/18/2009
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
01/28/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
12/09/1999 - 02/03/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/29/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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