Peter H. Andorfer
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 Howard Andorfer was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1998. Peter had worked at 9 firms and has passed the Series 63, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2013 - June 4, 2013
B. RILEY & CO., LLC
May 31, 2011 - January 15, 2013
C. L. KING & ASSOCIATES, INC.
March 11, 2009 - September 8, 2010
CITIZENS JMP SECURITIES, LLC
July 5, 2007 - December 8, 2008
STERNE, AGEE & LEACH, INC.
November 1, 2005 - June 28, 2007
NOLLENBERGER CAPITAL PARTNERS INC.
January 3, 2005 - August 18, 2005
WELLS FARGO SECURITIES, LLC
March 27, 2001 - December 16, 2004
OPPENHEIMER & CO. INC.
July 13, 1999 - March 23, 2001
ROBERTSON STEPHENS, INC.
March 15, 1998 - March 19, 1998
DUKE & CO., 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
Series 55
Date: 8/29/2009
Limited Representative-Equity Trader ExamSeries 25
Date: 6/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
B. RILEY & CO., LLC
CRD#: 40355 / SEC#: , 8-49016
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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