Peter L. Workman
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 Llewllyn Workman, who also goes by Burton Smith Johnson Jr, Peter Llewellyn Workman, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1983. Peter had worked at 6 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 1988 - December 20, 2001
CADARET, GRANT & CO., INC.
January 5, 1988 - November 16, 1988
FOCUS SECURITIES, INC.
October 28, 1987 - January 11, 1988
MONARCH INVESTMENTS INC.
October 3, 1986 - November 4, 1987
LESKO SECURITIES INC.
October 19, 1983 - October 21, 1986
METROPOLITAN LIFE INSURANCE COMPANY
October 19, 1983 - January 1, 1992
MSI FINANCIAL SERVICES, INC.
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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
