Thomas W. 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 Walter 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 7 firms and has passed the Series 63, SIE 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 4, 2016 - September 20, 2017
THE LEADERS GROUP, INC.
September 4, 2009 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 24, 2005 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 12, 1995 - March 6, 2003
PRUCO SECURITIES, LLC.
May 6, 1992 - December 31, 1994
VOYA FINANCIAL ADVISORS, INC.
October 5, 1984 - May 14, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 5, 1984 - May 14, 1992
EQUITABLE ADVISORS, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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