Peter L. Buinauskas
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 L Buinauskas, who also goes by Peter L Buinauskas, Peter Linus Buinauskas, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 3, Series 53 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, 2021 - May 17, 2025
CHARLES SCHWAB & CO., INC.
September 15, 2021 - May 17, 2025
CHARLES SCHWAB & CO., INC.
March 20, 2019 - May 17, 2021
280 SECURITIES LLC
August 4, 2017 - April 2, 2019
BB&T SECURITIES, LLC
January 2, 2008 - July 21, 2017
ROBERT W. BAIRD & CO. INCORPORATED
February 3, 2006 - January 30, 2008
RBC CAPITAL MARKETS, LLC
April 19, 2001 - February 8, 2006
FHN FINANCIAL SECURITIES CORP.
December 1, 2000 - April 23, 2001
UBS SECURITIES LLC
July 15, 1993 - December 1, 2000
UBS FINANCIAL SERVICES INC.
May 19, 1992 - December 9, 1992
INTERFIRST CAPITAL CORPORATION
May 19, 1992 - April 29, 1993
MORGAN STANLEY DW INC.
February 18, 1988 - April 5, 1988
SEATTLE-NORTHWEST SECURITIES CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
