Peter B. Cook
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 Bernard Cook was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 4 firms and has passed the Series 3, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2011 - April 11, 2013
PT ASSET MANAGEMENT, LLC
January 24, 1997 - September 11, 1997
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
September 11, 1995 - November 14, 1996
TQA VANTAGE FUND LTD.
October 29, 1987 - April 2, 1992
UBS SECURITIES LLC
Primary Firm SEC Registration
PT ASSET MANAGEMENT, LLC
CRD#: 107619 / SEC#: 801-46031
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
PT ASSET MANAGEMENT, LLC
CRD#: 107619 / SEC#: 801-46031
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 9,587,215,582 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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