Peter L Dafniotis

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-02-25
FL	RA	APPROVED	2023-09-29
NY	RA	APPROVED	2023-09-28

TX RA
APPROVED_RES

Since 2025-02-25
FL RA
APPROVED

Since 2023-09-29
NY RA
APPROVED

Since 2023-09-28

Branch Locations

36-01 31St Ave, Astoria, NY 11106 • United States

1615 Northern Blvd Suite 304, Manhasset, NY 11030 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tdameritrade, Inc	Forest City	NY	04/2013	09/2016
Santander Bank, Na	Boston	MA	11/2016	09/2023
Santander Securities, Llc	Dorchester	MA	11/2016	01/2023
Santander Securities, Llc	Dorchester	MA	01/2023	09/2023
Osaic Wieath Inc	Manhasset	NY	09/2023	Present

04/2013 → 09/2016

Tdameritrade, Inc

Forest City, NY
11/2016 → 09/2023

Santander Bank, Na

Boston, MA
11/2016 → 01/2023

Santander Securities, Llc

Dorchester, MA
01/2023 → 09/2023

Santander Securities, Llc

Dorchester, MA
09/2023 → Present

Osaic Wieath Inc

Manhasset, NY

Previous Registrations

2016-12-14 → 2023-09-05

Santander Securities Llc

New York, NY

Jackson Heights, NY

New York, NY

New York, NY

Manhattan, NY

Norwell, MA

New York, NY

Scotch Plains, NJ

Scotch Plains, NJ

Jackson Heights, NY

Howard Beach, NY

South Richmond Hill, NY

Long Island City, NY

Astoria, NY

Jackson Heights, NY

Long Island City, NY

Flushing, NY

Forest Hills, NY

Jackson Heights, NY

Astoria, NY

Astoria, NY

Flushing, NY

Hempstead, NY
2013-05-15 → 2016-10-04

Td Ameritrade, Inc.

Forest Hills, NY

Astoria, NY

Forest Hills, NY
2013-05-16 → 2016-10-04

Td Ameritrade Investment Management, Llc

Astoria, NY

Forest Hills, NY

Forest Hills, NY

Other Businesses

OAKFIELD WEALTH MANAGEMENT GROUP LLC POSITION: Contractor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/21/2023 ADDRESS: 191 Oakfield Ave, Dix Hills NY 11746, United States DESCRIPTION: Financial Services

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-05-11
S63	Uniform Securities Agent State Law Examination	1999-07-29

S66 Uniform Combined State Law Examination

2013-05-11
S63 Uniform Securities Agent State Law Examination

1999-07-29

View on SEC IAPD