Peter K. Barrett
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 Kevin Barrett, who also goes by Peter Barrett, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 4 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
March 22, 2012 - July 5, 2013
MIDDLEBURY SECURITIES LLC
October 13, 2011 - March 12, 2012
WASHINGTON SECURITIES CORPORATION
December 4, 1999 - November 14, 2003
WASHINGTON SECURITIES CORPORATION
September 21, 1998 - November 16, 1999
VELASCO SECURITIES, INC.
May 15, 1998 - July 27, 1998
SANDLER, O'NEILL & PARTNERS, L.P.
August 29, 1994 - May 13, 1998
PRUDENTIAL EQUITY GROUP, LLC
October 22, 1992 - September 13, 1994
CITIGROUP GLOBAL MARKETS INC.
January 12, 1988 - October 15, 1992
ALEX. BROWN & SONS INCORPORATED
August 15, 1984 - January 20, 1988
E. F. HUTTON & COMPANY INC
February 21, 1984 - August 15, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MIDDLEBURY SECURITIES LLC
CRD#: 122602 / SEC#: , 8-65520
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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