Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Alpern is a licensed investment advisor with 20 years of experience in the financial services industry. Currently, Peter is an Investment Advisor Representative at HSBC Securities (USA) Inc., which is a broker dealer with over $50 billion in assets under management. Prior to joining HSBC Securities (USA) Inc., Peter worked at Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Wells Fargo Prime Services, LLC, and Deutsche Bank Securities Inc. Peter has been registered with FINRA for over 20 years and holds Series 7, 63, SIE, and 99TO licenses. Peter provides asset allocation recommendations to both individuals and institutional clients and selects third-party advisors to manage the clients' assets.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
11/03/2021 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
09/28/2018 - 07/06/2021
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/21/2016 - 10/16/2018
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
10/07/2015 - 11/09/2017
WELLS FARGO PRIME SERVICES, LLC (NEW YORK NY)
NY
09/13/2007 - 08/24/2015
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
04/16/2003 - 09/07/2007
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 04/28/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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