Peter D. Baldwin
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 Dana Baldwin, who also goes by Peter Dana Baldwin, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2002. Peter had worked at 2 firms and has passed the Series 63, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2011 - August 31, 2012
GLC SECURITIES, LLC
September 10, 2002 - May 21, 2008
UBS SECURITIES LLC
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
Current Firm
GLC SECURITIES, LLC
CRD#: 153581 / SEC#: , 8-68557
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLC ADVISORS & CO. HOLDINGS, LLC | OWNER | |
| BENNINGER, THOMAS MICHAEL | PRINCIPAL | |
| HAN, ABRAHAM T | PRINCIPAL | |
| KINZER, CAROL ANN | FINOP/CFO | 4519471 |
| REYNERTSON, JON SOREN | PRINCIPAL/CEO/CCO |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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