Peter S. Milhaupt

CAROLINA FINANCIAL SECURITIES

Brevard, NC 28712

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CRD#: 728310

Professional summary

Peter Stuart Milhaupt is a registered financial professional currently at CAROLINA FINANCIAL SECURITIES, LLC located in Brevard, North Carolina and CAROFIN, LLC located in Brevard, North Carolina.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1981. Peter has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Stuart Milhaupt's CRS (Customer Relationship Summary).

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

July 29, 2005 - Present

CAROLINA FINANCIAL SECURITIES, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712

CRD#: 41970

Brevard, NC

Current

January 9, 2020 - Present

CAROFIN, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712

CRD#: 298717

Brevard, NC

Past

May 6, 1999 - January 7, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 18, 1996 - April 29, 1999

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 22, 1982 - March 29, 1996

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 13, 1981 - February 9, 1982

SBC WARBURG DILLON READ INC.

CRD#: 1650

State Registrations and Notice Filings

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

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
(1/13/2012)

Connecticut
(8/1/2005)

New Jersey
(7/29/2005)

New York
(9/25/2007)

South Carolina
(9/25/2007)

Exams

State Security Law Exam

Series 63

Date: 9/24/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/2/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAROFIN, LLC

CRD#: 298717 / SEC#: , 8-70224

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

100 Elks Club Rd., Brevard, NC 28712

Mailing Address

100 Elks Club Rd., Brevard, NC 28712

Phone number

(828) 393-0088

Established

North Carolina since 05/03/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CAROLINA FINANCIAL SECURITIES, LLC	MEMBER - COMMON	41970
CAROFIN HOLDINGS, INC.	MEMBER - COMMON
DRAKE, PHILIP CALVIN	MEMBER - PREFERRED
STAR, JOSHUA S.	MEMBER - PREFERRED	3244678
GILMORE, NICHOLAS CRAIG	CTO, COO-CFO AND FINOP	5181593
MILHAUPT, PETER STUART	MANAGER	728310
ROBERTS, BRUCE VICTOR	CCO	1489110

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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Firm Stability Insights

Peter S. Milhaupt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Stuart Milhaupt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAROFIN, LLC

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

SBC WARBURG DILLON READ INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/24/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/11/1981

Series 24

Date: 8/2/1991

FINRA

Current Firm

CAROFIN, LLC

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAROFIN, LLC

TRUST BUT VERIFY

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