Peter C. Dunne
Professional summary
Peter Christian Dunne was barred by the SEC 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 2000. Prior to being barred, Peter had worked at 16 firms, which includes WOODSTOCK FINANCIAL GROUP INC., PEAK SECURITIES CORPORATION, EKN FINANCIAL SERVICES INC., SW FINANCIAL, AURA FINANCIAL SERVICES INC., PHD CAPITAL, WESTPARK CAPITAL INC., JHS CAPITAL ADVISORS LLC, GREAT EASTERN SECURITIES INC., MILESTONE GROUP MANAGEMENT LLC, WESTROCK ADVISORS INC., SALOMON GREY FINANCIAL CORPORATION, LH ROSS & COMPANY INC., GLENN MICHAEL FINANCIAL INC., VALLEY FORGE SECURITIES INC ., J.P. TURNER & COMPANY L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2009 - January 22, 2009
WOODSTOCK FINANCIAL GROUP, INC.
December 1, 2008 - February 11, 2009
PEAK SECURITIES CORPORATION
October 21, 2008 - November 4, 2008
EKN FINANCIAL SERVICES INC.
September 12, 2008 - October 16, 2008
SW FINANCIAL
March 17, 2008 - August 5, 2008
AURA FINANCIAL SERVICES, INC.
June 4, 2007 - March 17, 2008
PHD CAPITAL
May 15, 2007 - June 1, 2007
AURA FINANCIAL SERVICES, INC.
April 3, 2007 - June 4, 2007
WESTPARK CAPITAL, INC.
January 26, 2007 - March 27, 2007
JHS CAPITAL ADVISORS, LLC
August 10, 2006 - January 29, 2007
WESTPARK CAPITAL, INC.
August 7, 2006 - August 15, 2006
EKN FINANCIAL SERVICES INC.
December 2, 2005 - June 9, 2006
GREAT EASTERN SECURITIES, INC.
June 28, 2005 - November 14, 2005
AURA FINANCIAL SERVICES, INC.
November 26, 2004 - April 28, 2005
MILESTONE GROUP MANAGEMENT LLC
October 12, 2004 - November 16, 2004
WESTROCK ADVISORS, INC.
October 4, 2002 - March 30, 2004
MILESTONE GROUP MANAGEMENT LLC
January 14, 2002 - October 21, 2002
SALOMON GREY FINANCIAL CORPORATION
June 11, 2001 - December 6, 2001
LH ROSS & COMPANY, INC.
December 13, 2000 - June 7, 2001
GLENN MICHAEL FINANCIAL, INC.
October 24, 2000 - December 7, 2000
VALLEY FORGE SECURITIES, INC .
October 2, 2000 - October 23, 2000
SALOMON GREY FINANCIAL CORPORATION
July 17, 2000 - September 25, 2000
J.P. TURNER & COMPANY, L.L.C.
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 62
Date: 7/15/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
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