PB
Peter C. Brockett
BARDI CO. LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 31112
PB
Professional summary
Peter Charles Brockett is a registered financial professional currently at BARDI CO. LLC located in Los Angeles, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 4 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 3, Series 7, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Charles Brockett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 10, 2021 - Present
BARDI CO. LLC
Office #1: 633 West 5th St. 28th Floor, Los Angeles, CA, 90071RIA
BD
CRD#: 166134
Los Angeles, CA
Past
February 5, 2002 - April 24, 2012
PACIFIC ADVISORY GROUP OF AMERICA, LLC
BD
CRD#: 116555
LOS ANGELES, CA
Past
April 26, 1993 - July 10, 2020
BROCKETT TAMNY & CO. INCORPORATED
BD
CRD#: 30778
LOS ANGELES, CA
Past
June 20, 1989 - May 3, 1990
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 12/26/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BARDI CO. LLC
BARDI CAPITAL MANAGEMENT | MANFRE, CHRISTIANO | MANFRE, CHRIS | BARDI CO. LLC
CRD#: 166134 / SEC#: 802-114617, 8-69190
California
Registered Investment Advisory firm - SEC (1/13/2022 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
633 West 5th St. 28th Floor, Los Angeles, CA, 90071
Mailing Address
633 West 5th St. 28th Floor, Los Angeles, CA, 90071
Phone number
(310) 993-9960
Established
California since 09/13/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 275,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 5/29/2020 |
| California | ERA - Withdrawn | 9/23/2021 |
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.
