M Tom Peterson

PETERSON ROGERS PRIVATE WEALTH

SALT LAKE CITY, UT 84117

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CRD#: 1043156

Professional summary

M Tom Peterson, who also goes by M Tom Peterson, Merrill Tom Peterson, is a registered financial advisor currently at PETERSON ROGERS PRIVATE WEALTH, LLC located in Salt Lake City, Utah.

M Tom is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. M Tom has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

M Tom Peterson | Merrill Tom Peterson

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.

(1) I*71920; CANCIERGE FOUNDATION/COMMUNITY FOUNDATION OF UTAH; INVESTMENT RELATED: N; SALT LAKE CITY, UTAH 84101; CHARITABLE ORGANIZATION, NON-PROFIT ORGANIZATION; ADVISORY BOARD MEMBER; 5/6/2014; 12 HOUR(S) MONTHLY; 0 HOUR(S) DURING TRADING HOURS; TO HELP MAKE CANCER PATIENTS AND THEIR FAMILY'S LIFE EASIER BY HELPING THEM WITH THEIR DAY-TO-DAY TASKS THROUGH LOCAL SOCIAL SERVICES. MY RESPONSIBILITIES WILL PRIMARILY BE SOLICITING DONATIONS AND OVERSEEING THE ORGANIZATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view M Tom Peterson'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

February 1, 2024 - Present

PETERSON ROGERS PRIVATE WEALTH, LLC

Office #1: 5305 S Highland Drive Suite 100, Salt Lake City, UT 84117

RIA

CRD#: 324001

SALT LAKE CITY, UT

Past

February 27, 2023 - December 31, 2023

PETERSON ROGERS PRIVATE WEALTH, LLC

RIA

CRD#: 324001

LEHI, UT

Past

September 23, 2022 - May 11, 2023

AXXCESS WEALTH MANAGEMENT, LLC

RIA

CRD#: 164081

LEHI, UT

Past

July 26, 1993 - September 28, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SALT LAKE CITY, UT

Past

March 9, 1989 - September 28, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SALT LAKE CITY, UT

Past

April 5, 1988 - March 15, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 15, 1988 - May 5, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 2, 1983 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 15, 1982 - September 26, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 24, 1982 - July 12, 1982

R. A. JOHNSON AND COMPANY, INC.

CRD#: 10262

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PETERSON ROGERS PRIVATE WEALTH, LLC

MADDIX HOLDINGS | PETERSON ROGERS PRIVATE WEALTH, LLC | MADDIX WEALTH, LLC | MADDIX HOLDINGS, LLC

CRD#: 324001 / SEC#: 801-127132

RIA

Registered Investment Advisory firm - (5/5/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(2/1/2024)

IAR

Utah
(2/5/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/14/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/15/1982

General Securities Representative Examination

Current Firm

PETERSON ROGERS PRIVATE WEALTH, LLC

MADDIX HOLDINGS | PETERSON ROGERS PRIVATE WEALTH, LLC | MADDIX WEALTH, LLC | MADDIX HOLDINGS, LLC

CRD#: 324001 / SEC#: 801-127132

RIA

Registered Investment Advisory firm - (5/5/2023 Approved)

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Contact information

Main Address

5305 S Highland Drive Suite 100, Salt Lake City, UT 84117

Mailing Address

Phone number

(801) 992-9783

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PETERSON ROGERS - FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 165,726,199

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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Advisor Monitoring

Firm Stability Insights

M Tom Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view M Tom Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PETERSON ROGERS PRIVATE WEALTH, LLC

AXXCESS WEALTH MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

R. A. JOHNSON AND COMPANY, INC.

Primary Firm SEC Registration

PETERSON ROGERS PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/1993

Series 63

Date: 6/18/1982

SIE

Date: 10/1/2018

Series 31

Date: 5/14/1996

Series 7

Date: 5/15/1982

Current Firm

PETERSON ROGERS PRIVATE WEALTH, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PETERSON ROGERS PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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