Peter E. Shimkus

SHIMKUS, PETER E

SOUTHBORO, MA 01772

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CRD#: 422174

Professional summary

Peter Edward Shimkus is a registered financial advisor currently at SHIMKUS, PETER E located in Southboro, Massachusetts and CHAUNER SECURITIES, INC. located in Northbrook, Illinois.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SHIMKUS IS THE OWNER OF PETER E. SHIMKUS, RIA WHICH WAS STARTED 1/1/93. THE BUSINESS IS LOCATED AT 8 LYNBROOK ROAD, SOUTHBORO, MA 01772 AND IS A REGISTERED INVESTMENT ADVISORY FIRM. SHIMKUS IS OWNER AND A REGISTERED INVESTMENT ADVISOR. HE SPENDS APPROXIMATELY 120 HOURS A MONTH ON HIS ADVISORY BUSINESS, 80 HOURS A MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Edward Shimkus'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®

None

Experience

Current

April 14, 1994 - Present

SHIMKUS, PETER E

Office #1: 8 Lynbrook Road, Southboro, MA 01772

RIA

CRD#: 130080

SOUTHBORO, MA

Current

January 4, 2000 - Present

CHAUNER SECURITIES, INC.

Office #1: 666 Dundee Road, Suite 903, Northbrook, IL 60062-2735

CRD#: 10075

Northbrook, IL

Past

June 4, 1991 - December 31, 1999

MICHEL SECURITIES, LTD.

CRD#: 17573

BOSTON, MA

Past

September 7, 1983 - May 14, 1991

MARCH SECURITIES CORPORATION

CRD#: 14037

Past

April 4, 1973 - December 12, 1977

EQUITY SERVICES, INC.

CRD#: 265

Past

May 28, 1970 - April 15, 1973

NEW ENGLAND SECURITIES

CRD#: 615

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/6/2004)

Colorado
(10/21/2014)

Connecticut
(1/4/2000)

District of Columbia
(1/25/2013)

Florida
(10/1/2002)

Maryland
(6/1/2010)

IAR

Massachusetts
(4/14/1994)

Massachusetts
(1/12/2000)

New Hampshire
(1/19/2007)

New Jersey
(1/31/2000)

New York
(1/4/2001)

North Carolina
(4/17/2012)

Rhode Island
(9/18/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 6/25/2013

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 00

Date: 5/12/1970

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHIMKUS, PETER E

SHIMKUS, PETER E | SHIMKUS, PETER EDWARD

CRD#: 130080 / SEC#: 801-66957

RIA

Registered Investment Advisory firm - (6/26/2012 Terminated)

Florida

Registered Investment Advisory firm - (11/10/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/15/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Southborough, MA

Mailing Address

Phone number

(508) 414-2438

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 23,550,000

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.

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Peter E. Shimkus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Edward Shimkus's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHAUNER SECURITIES, INC.

MICHEL SECURITIES, LTD.

MARCH SECURITIES CORPORATION

EQUITY SERVICES, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/1996

Series 63

Date: 2/4/1982

SIE

Date: 10/1/2018

Series 62

Date: 6/25/2013

Series 6

Date: 3/3/2000

Series 00

Date: 5/12/1970

FINRA

Current Firm

SHIMKUS, PETER E

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHIMKUS, PETER E

TRUST BUT VERIFY

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