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Peter Andrew Braunwart

CRD# 3020628·Registered 1999 - 2016
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter Andrew Braunwart, who also goes by Peter A Braunwart, was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1999 - 2016. Peter had worked at 11 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Peter A Braunwart

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

ETF DISTRIBUTORS LLC·CRD# 166181
BD
New York, NY
July 10, 2015 - January 14, 2016
B. RILEY WEALTH MANAGEMENT·CRD# 2543
BD
New York, NY
November 28, 2011 - September 30, 2013
SAMCO CAPITAL MARKETS, INC.·CRD# 136532
BD
New York, NY
July 13, 2010 - September 19, 2011
W.R. HAMBRECHT + CO., LLC·CRD# 45040
BD
New York, NY
April 11, 2007 - June 2, 2010
JOSEPH GUNNAR & CO. LLC·CRD# 24795
BD
New York, NY
January 20, 2006 - May 2, 2007
LABRANCHE FINANCIAL SERVICES, LLC·CRD# 7432
BD
New York, NY
June 27, 2005 - October 12, 2005
BERNARD L. MADOFF INVESTMENT SECURITIES LLC·CRD# 2625
BD
New York, NY
March 3, 2004 - October 4, 2004
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Chicago, IL
January 7, 2004 - March 2, 2004
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
March 12, 2001 - April 2, 2003
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
April 25, 2000 - March 12, 2001
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
December 7, 1999 - May 3, 2000

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Current Firm

ED
ETF DISTRIBUTORS LLC

ETF DISTRIBUTORS LLC

CRD#: 166181 / SEC#: 8-69191
BD
Terminated by SEC on 01/30/2020

Contact Information

Established

Delaware since 10/15/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ETFIS HOLDINGS LLCSOLE MEMBER—
BROWN, MATTHEW BARRETTPRESIDENT4859559
HANLEY, DAVID GEORGE JRTREASURER, FINOP5455435
MARTIN, DAVID CAMBRIDGECHIEF COMPLIANCE OFFICER1466549
SMALLEY, WILLIAM JUSTINEXECUTIVE VICE PRESIDENT5278853

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jun 2000

Series 7 — General Securities Representative Examination

Passed Dec 1999About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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