Daniel A. Peterson

NORTHBAY ADVISORS

Rohnert Park, CA 94928

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CRD#: 1152768

Professional summary

Daniel Alan Peterson, CFP®, who also goes by Daniel A Peterson, is a registered financial advisor currently at NORTHBAY ADVISORS located in Rohnert Park, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Daniel has worked at 7 firms and has passed the Series 66, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel A 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.

NORTH BAY FINANCIAL GROUP, INC.-PRES/CEO PROVIDES INCOME TAX PREPARATION RELATED SERVICES THROUGH ITS SUBSIDIARY EXPRESS INCOME TAX SERVICES. THESE SERVICES ARE NOT INVESTMENT RELATED. ADDRESS IS: 6010 COMMERCE BL SUITE 142, ROHNERT PARK, CA 94928

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alan Peterson's 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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

March 4, 2004 - Present

NORTHBAY ADVISORS

Office #1: 6010 Commerce Blvd Suite 142, Rohnert Park, CA 94928

RIA

CRD#: 129214

Rohnert Park, CA

Past

May 31, 2002 - December 31, 2003

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

May 29, 2002 - December 31, 2003

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

ROHNERT PARK, CA

Past

February 7, 1999 - June 12, 2002

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

December 16, 1987 - June 3, 1989

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 5, 1986 - October 27, 1987

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

Past

November 20, 1984 - November 6, 1986

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

Past

June 19, 1983 - December 10, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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

California
(3/4/2004)

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 66

Date: 1/15/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/14/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/30/1985

Direct Participation Programs Representative Examination

Current Firm

NORTHBAY ADVISORS

EXPRESS INCOME TAX SERVICES | NORTHBAY FINANCIAL GROUP, INC. | NORTHBAY ADVISORS

CRD#: 129214 / SEC#:

California

Registered Investment Advisory firm - (3/4/2004 Approved)

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Contact information

Main Address

6010 Commerce Blvd. Suite 142, Rohnert Park, CA 94928

Mailing Address

P O Box 1720, Rohnert Park, CA 94927-1720

Phone number

(707) 585-8004

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 4,945,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel A. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alan Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHBAY ADVISORS

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

TRUSTED SECURITIES ADVISORS CORP.

CETERA WEALTH SERVICES, LLC

MONEY CONCEPTS CAPITAL CORP

TRANSAMERICA FINANCIAL ADVISORS, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/15/1999

Series 7

Date: 1/14/1999

Series 22

Date: 1/30/1985

Current Firm

NORTHBAY ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTHBAY ADVISORS

TRUST BUT VERIFY

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