Peter D. Dworkin
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 David Dworkin was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2019 - April 17, 2023
EASTDIL SECURED ADVISORS LLC
July 1, 2009 - October 1, 2019
WELLS FARGO SECURITIES, LLC
February 24, 2006 - July 1, 2009
WELLS FARGO SECURITIES, LLC
May 13, 2005 - February 16, 2006
SECURED CAPITAL LLC
October 31, 2000 - November 29, 2004
CHARLES SCHWAB & CO., INC.
August 18, 1997 - October 23, 2000
TD AMERITRADE, INC.
June 4, 1997 - September 3, 1997
STOCKWALK.COM, INC.
April 9, 1997 - June 17, 1997
INTERFIRST CAPITAL CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 6/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EASTDIL SECURED ADVISORS LLC
CRD#: 304434 / SEC#: , 8-70367
Contact information
FINRA licenses (51 States and Territories)
Documents
Red Flags
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