Jann E. Peterson
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.
Jann Ellen Peterson, who also goes by Jann Ellen Carter, was a registered financial professional .
Jann is a previously registered financial professional and started their career in finance in 1985. Jann had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2016 - April 18, 2017
TD AMERITRADE, INC.
November 5, 2007 - November 18, 2013
LPL FINANCIAL LLC
April 14, 1994 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
May 13, 1993 - January 29, 1994
FIRST AFFILIATED SECURITIES
October 26, 1987 - April 20, 1993
LPL FINANCIAL LLC
December 18, 1985 - November 5, 1987
FIXED INCOME SECURITIES, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
