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Peter A. Babajko

Some features on this profile are disabled
CRD#: 2018182
PB

Professional summary

Peter Anthony Babajko was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Peter had worked at 2 firms, which includes WILLIAM SCOTT & CO. L.L.C., LT LAWRENCE & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 1, 1995 - November 27, 1996

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

June 12, 1995 - July 17, 1995

LT LAWRENCE & CO., INC.

BD
CRD#: 31956
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/8/1995
General Securities Representative Examination

Current Firm

WS
WILLIAM SCOTT & CO. L.L.C.
RUMSON FINANCIAL SERVICES | WILLIAM SCOTT & CO. L.L.C. | WILLIAM SCOTT & CO. L.L.C | RUMSON SECURITIES

CRD#: 14979 / SEC#: , 8-32265

BD
Terminated by SEC on 11/29/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 02/02/1995
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAM SCOTT HOLDINGS, LLCOWNER
BOWLEY, STEVEN ALBERTPRESIDENT, CHIEF COMPLIANCE OFFICER, CROP, SROP, BRANCH MANAGER2893106
GLODEK, JOSEPH SCOTTMEMBER OF THE BOARD2024287
GLODEK, JOSEPH WILLIAMMEMBER OF THE BOARD223163
GLODEK, WALTER EDWARDCHIEF FINANCIAL OFFICER4256533

Disclosures

Regulatory Event4
Arbitration3

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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Company Information

WILLIAM SCOTT & CO. L.L.C.

CRD#: 14979

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