Peter Kambolin
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 Kambolin, who also goes by Pete A Kambolin, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1995. Peter had worked at 3 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 4, Series 27 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
February 18, 2003 - May 23, 2003
PHILLIP LOUIS TRADING, INC.
March 2, 1999 - June 9, 2009
THOR CAPITAL LLC
February 10, 1997 - June 8, 1998
PHILLIP LOUIS TRADING, INC.
July 26, 1995 - August 28, 1995
COMMONWEALTH ASSOCIATES
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 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
PHILLIP LOUIS TRADING, INC.
CRD#: 19378 / SEC#: , 8-37365
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
