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PB

Peter A. Braunwart

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CRD#: 3020628
PB

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 Andrew Braunwart, who also goes by Peter A Braunwart, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1999. Peter had worked at 11 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter A Braunwart

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 10, 2015 - January 14, 2016

ETF DISTRIBUTORS LLC

BD
CRD#: 166181
NEW YORK, NY
Past

November 28, 2011 - September 30, 2013

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

July 13, 2010 - September 19, 2011

SAMCO CAPITAL MARKETS, INC.

BD
CRD#: 136532
NEW YORK, NY
Past

April 11, 2007 - June 2, 2010

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
NEW YORK, NY
Past

January 20, 2006 - May 2, 2007

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

June 27, 2005 - October 12, 2005

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

March 3, 2004 - October 4, 2004

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

BD
CRD#: 2625
NEW YORK, NY
Past

January 7, 2004 - March 2, 2004

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

March 12, 2001 - April 2, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

April 25, 2000 - March 12, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 7, 1999 - May 3, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/29/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/2/1999
General Securities Representative Examination

Current Firm

ED
ETF DISTRIBUTORS LLC
ETF DISTRIBUTORS LLC

CRD#: 166181 / SEC#: , 8-69191

BD
Terminated by SEC on 01/30/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

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

Red Flags

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.

Company Information

ETF DISTRIBUTORS LLC

CRD#: 166181

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