Pieter A. Bierkens
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.
Pieter Anton Bierkens MR, who also goes by Pieter Anton Bierkens, was a registered financial professional .
Pieter is a previously registered financial professional and started their career in finance in 1994. Pieter had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 4 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
August 24, 2015 - June 11, 2019
COMMONWEALTH AUSTRALIA SECURITIES LLC
January 12, 2006 - January 27, 2014
COMMONWEALTH AUSTRALIA SECURITIES LLC
February 11, 2002 - November 14, 2002
MUFG SECURITIES AMERICAS INC.
May 28, 1997 - January 25, 2002
SMBC NIKKO SECURITIES AMERICA, INC.
September 26, 1994 - February 28, 1997
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
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
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| LAWRENCE, LARRY O | CEO | 4237420 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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