Peter R. Baksh
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 R Baksh, who also goes by Peter Rassul Baksh, Peter Rassul Rassul Baksh, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2000. Peter had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2012 - October 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 2012 - October 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2011 - April 1, 2011
AEGIS CAPITAL CORP.
January 31, 2011 - April 1, 2011
AEGIS CAPITAL CORP.
August 18, 2010 - October 28, 2010
SECURIAN FINANCIAL SERVICES, INC.
July 9, 2010 - October 28, 2010
SECURIAN FINANCIAL SERVICES, INC.
July 1, 2008 - September 16, 2008
THOMAS ANTHONY & ASSOCIATES , INC.
April 14, 2008 - June 25, 2008
NORTH AMERICAN CLEARING, INC.
May 24, 2005 - February 14, 2007
NORTH AMERICAN CLEARING, INC.
January 3, 2005 - March 22, 2005
TERRA NOVA FINANCIAL, LLC
April 13, 2004 - July 16, 2004
CHARLES SCHWAB & CO., INC.
November 19, 2003 - February 18, 2004
NORTH AMERICAN CLEARING, INC.
August 6, 2003 - November 6, 2003
EMPIRE FINANCIAL GROUP, INC.
February 1, 2002 - November 6, 2003
NORTH AMERICAN CLEARING, INC.
February 28, 2000 - February 1, 2002
EMPIRE FINANCIAL GROUP, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 55
Date: 10/1/2001
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
