Peter C. Budd
Professional summary
Peter Charlton Budd JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter Charlton Budd JR, who also goes by Jay Budd, Peter Charlton Budd, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - August 14, 2019
BENJAMIN F. EDWARDS & COMPANY, INC.
November 20, 2013 - August 14, 2019
BENJAMIN F. EDWARDS & COMPANY, INC.
March 19, 2008 - November 29, 2013
UBS FINANCIAL SERVICES INC.
March 19, 2008 - November 29, 2013
UBS FINANCIAL SERVICES INC.
February 27, 2003 - March 25, 2008
J.P. MORGAN SECURITIES LLC
April 19, 1994 - March 25, 2008
J.P. MORGAN SECURITIES LLC
September 10, 1993 - April 21, 1994
LAIDLAW GLOBAL SECURITIES, INC.
January 14, 1993 - September 1, 1993
MERCER SECURITIES, LTD.
December 20, 1991 - December 31, 1992
EDWARD C. RORER & CO., INC.
August 1, 1990 - December 17, 1991
THE PENNSYLVANIA GROUP, INCORPORATED
March 31, 1987 - July 11, 1990
DWE CAPITAL MARKETS, INC.
August 15, 1986 - April 9, 1987
T.J. SULLIVAN & CO., INC.
June 30, 1986 - August 12, 1986
PHILIPS, APPEL & WALDEN, INC.
May 16, 1985 - June 30, 1986
S. D. COHN & CO.
February 20, 1985 - May 16, 1985
RUSSELL & CO
Primary Firm SEC Registration
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
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
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
