Peter O. Burke
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 Oakley Burke was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 5 firms and has passed the Series 63, SIE, 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
July 9, 2015 - January 6, 2016
UNIFIED FINANCIAL SECURITIES, LLC
March 23, 2006 - August 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2005 - March 10, 2006
PEQUOT CAPITAL FINANCIAL SERVICES
February 17, 1998 - January 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1997 - February 25, 1998
MORGAN STANLEY & CO. LLC
February 13, 1997 - March 19, 1997
HENDERSON BROTHERS, 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: 11/5/2003
Limited Representative-Equity Trader ExamSeries 25
Date: 5/18/1999
NYSE Trading Assistant ExaminationCurrent Firm
UNIFIED FINANCIAL SECURITIES, LLC
CRD#: 7868 / SEC#: , 8-23508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULTIMUS FUND SOLUTIONS, LLC | OWNER | |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER | 2217795 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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