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Robert D. Peterson

Some features on this profile are disabled
CRD#: 500171
RP

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.

Robert Duane Peterson was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 5 firms and has passed the Series 63 exam.

top-8-questions

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.

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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 26, 1991 - July 1, 1999

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

March 19, 1990 - June 14, 1991

A. F. BEST SECURITIES, INC.

BD
CRD#: 14335
CORAL SPRINGS, FL
Past

March 21, 1983 - February 27, 1990

DOUGHERTY DAWKINS LLC

BD
CRD#: 7442
MINNEAPOLIS, MN
Past

September 8, 1980 - August 18, 1982

CROAKE ROBERTS, INC.

BD
CRD#: 8150
Past

January 13, 1976 - February 16, 1980

CHANNER FINANCIAL CORPORATION

BD
CRD#: 6972

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: 5/21/1982
Uniform Securities Agent State Law Examination

Current Firm

BC
BURLINGTON CAPITAL MARKETS INC.
BURLINGTON CAPITAL MARKETS INC. | BURLINGTON SECURITIES CORP.

CRD#: 26991 / SEC#: , 8-42755

BD
Terminated by SEC on 04/01/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 06/04/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BURLINGTON HOLDINGS, INC.HOLDING COMPANY
BORRELLI, ALAN PASQUALECFO / FIN-OP2655912
DESENA, JOSEPH ANTHONYCHIEF EXECUTIVE OFFICER2679165
JOYCE, WALTERASST. TREASURER
ROSATI, ROBERT GCONTROLLER
SANTANELLI, JOSEPH PAULOPTIONS PRINCIPAL2143347
SORRENTINO, RICHARD ANTHONYSECRETARY / CCO430898

Disclosures

Regulatory Event12
Arbitration1

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

BURLINGTON CAPITAL MARKETS INC.

CRD#: 26991

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