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Peter Gerson Wolff

Daiwa Capital Markets America Inc.

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About Peter Gerson Wolff

Peter Wolff is a financial advisor with Daiwa Capital Markets America Inc. in New York, New York. Peter has been in the financial industry since August 11, 1990. Peter holds the Series 63, Series 86, Series 87 and Series 7 licenses and is registered in 25 states.

Firm Information

Peter Wolff is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Peter Wolff’s Registration & Firm History

NY

06/30/2008 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

02/02/2007 - 04/14/2008

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

11/02/2006 - 01/22/2007

AVIAN SECURITIES, LLC (NEW YORK NY)

NY

03/26/1999 - 08/10/2000

ING BARINGS LLC (NEW YORK NY)

NY

03/03/1994 - 05/22/1995

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NY

09/18/1989 - 01/10/1994

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

03/03/1980 - 12/21/1992

NOMURA SECURITIES INTERNATIONAL, INC.

NA

09/17/1980 - 12/08/1989

PRUDENTIAL-BACHE SECURITIES INC.

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Licenses & Designations

BC

Issued 10/30/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/2007

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/08/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 03/25/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Peter Gerson Wolff.
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