Peter E. Braun
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 Erhardt Braun was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 5 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2011 - April 30, 2018
FINANCIAL PARTNERS CAPITAL MANAGEMENT, LLC
July 22, 1977 - April 13, 2006
J.P. MORGAN SECURITIES LLC
March 8, 1976 - August 14, 1977
WOOD, STRUTHERS & WINTHROP INC
November 27, 1973 - March 23, 1976
CIBC WOOD GUNDY SECURITIES CORP.
May 4, 1972 - December 14, 1973
R. W. PRESSPRICH & CO. INCORPORATED
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 1
Date: 5/1/1972
Registered Representative ExaminationCurrent Firm
FINANCIAL PARTNERS CAPITAL MANAGEMENT, LLC
CRD#: 105667 / SEC#: 801-19567
Contact information
Regulatory assets under management
| Total Number of Accounts | 688 |
| AUM (Assets Under Management) | $ 741,762,267 |
Red Flags
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