Peter H. Kambourakis
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 Harry Kambourakis, who also goes by Peter H Kambourakis, Peter Kay Kambourakis, Peter Kambourakis, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1971. Peter had worked at 21 firms and has passed the Series 65, Series 63, SIE, Series 8, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - August 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2011 - August 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - February 4, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
April 29, 2002 - July 15, 2005
RYAN BECK & CO.
April 3, 1998 - May 20, 2002
GRUNTAL & CO., L.L.C.
July 11, 1996 - March 6, 1998
LABRANCHE FINANCIAL SERVICES, LLC
February 1, 1989 - December 18, 1989
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
October 18, 1988 - July 2, 1996
LAIDLAW GLOBAL SECURITIES, INC.
April 12, 1988 - October 7, 1988
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
January 29, 1988 - April 1, 1988
OPPENHEIMER & CO. INC.
September 14, 1987 - January 29, 1988
KUHNS BROTHERS & LAIDLAW, INC.
September 4, 1985 - September 1, 1987
PURCELL GRAHAM INCORPORATED
July 2, 1980 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
June 10, 1980 - September 10, 1985
LISS TENNER & GOLDBERG SECURITIES CORPORATION
December 2, 1977 - July 6, 1980
MURIEL SIEBERT & CO., LLC
October 27, 1976 - September 26, 1977
BECKER SECURITIES INCORPORATED
September 22, 1975 - January 12, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
May 1, 1975 - September 1, 1975
INVESTORS FINANCIAL SERVICES, INC.
May 23, 1972 - May 23, 1975
KEEPER & CO
July 28, 1971 - March 2, 1972
PARS SECURITIES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 8
Date: 7/2/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 7/26/1971
General Securities Principal ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
