Kevin L. Petersen
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.
Kevin Linn Petersen was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1981. Kevin had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2013 - April 1, 2014
STATE FARM VP MANAGEMENT CORP.
August 22, 2005 - March 11, 2013
STATE FARM VP MANAGEMENT CORP.
July 13, 2004 - July 1, 2005
GENEOS WEALTH MANAGEMENT, INC.
July 1, 2004 - July 1, 2005
GENEOS WEALTH MANAGEMENT, INC.
July 3, 2003 - July 2, 2004
UNITED SECURITIES ALLIANCE, INC.
June 27, 2003 - July 2, 2004
UNITED SECURITIES ALLIANCE, INC.
September 5, 2001 - June 27, 2003
CETERA ADVISORS LLC
February 4, 1998 - February 19, 1998
FSC SECURITIES CORPORATION
October 13, 1997 - June 27, 2003
CETERA ADVISORS LLC
June 3, 1994 - October 22, 1997
FFP SECURITIES, INC.
November 29, 1990 - June 25, 1992
NYLIFE SECURITIES LLC
June 24, 1988 - October 26, 1990
F.J. GARBER & CO.
September 24, 1987 - May 20, 1988
R.T. CALDWELL & CO., INCORPORATED
March 6, 1984 - July 6, 1984
NEW ENGLAND SECURITIES
February 18, 1982 - March 22, 1984
PRUCO SECURITIES, LLC.
October 30, 1981 - March 22, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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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