Thomas A. 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.
Thomas Allen Peterson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 6 firms and has passed the Series 63, SIE, 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
January 14, 2019 - May 14, 2019
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
September 26, 2000 - May 14, 2019
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 21, 1995 - September 25, 2000
DWS DISTRIBUTORS, INC.
June 8, 1995 - August 16, 1995
BISYS SHELF B/D (1), INC.
May 6, 1985 - June 15, 1994
KEMPER FINANCIAL SERVICES, INC.
February 27, 1984 - November 21, 1984
FORESTERS FINANCIAL SERVICES, 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
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD#: 13594 / SEC#: , 8-29504
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEMPLETON WORLDWIDE, INC. | SHARE HOLDER | |
| CIEPRISZ, KENNETH DAVID | CHIEF COMPLIANCE OFFICER | 2303713 |
| DEAKYNE, WILLIAM SCOTT JR. | SENIOR VICE PRESIDENT AND DIRECTOR | 1861589 |
| GRAY, STEVEN JOEL | ASSISTANT SECRETARY | 849484 |
| MASOM, JEFFREY SCOTT | PRESIDENT AND DIRECTOR | 2870966 |
| PATERSON, DAVID | CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL | 7001546 |
| PLAFKER, JED ANDREW | DIRECTOR | 2793695 |
| ROSAS, VIRGINIA E | ASSISTANT SECRETARY | 5346920 |
| SHANEYFELT, GWEN LOUISE | TREASURER | 2668221 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
