DP
Douglas D. Peterson
PROFESSIONAL FINANCIAL ADVISORS
North Platte, NE 69101-5311
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CRD#: 1303079
DP
Professional summary
Douglas De Wayne Peterson, CFP®, who also goes by Doug Peterson, is a registered financial advisor currently at PROFESSIONAL FINANCIAL ADVISORS, LLC located in North Platte, Nebraska.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug 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. INSURANCE,INVESTMENT RELATED,PO BOX 1070 501 SO JEFFERS NORTH PLATTE, NE 69103, OWNER, 12/1984, 10 HRS/MO, 0 DURING TRADING, SELL LIFE INSURANCE TERM INSURANCE UNIVERISAL LIFE, FIXED ANNUITY THROUGH PACIFIC LIFE, ALLIANZ, & PROTECTIVE LIFE. LINCOLN BENEFIT LIFE, MIDLAND NATIONAL LIFE, LIBERTY BANKERS LIFE, MUTUAL OF OMAHA LONG TERM AND GENWORTH LONG TERM CARE, AMERICAN GENERAL AND BLUE CROSS BLUE SHIELD.
2. OWNS A BUILDING AND HAVE 4 BUSINESS THAT RENT FROM ME.
3. PROFESSIONAL FINANCIAL ADVISORS
POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 05/21/2015
ADDRESS: 501 So Jeffers, POB 1070, North Platte NE 69101
DESCRIPTION: Reviewing accounts with clients, Research of Mutual Funds and ETF's. Doing Financial Plans for individuals. Monitor accounts that other IAR have with the firm. Review to see that clients are contacted at least 1 times per year. review our disaster plan. Be ware of activityconcerning PFA
4.DONNA'S OFFICE SERVICES
POSITION: Secretary NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/03/2016
ADDRESS: 501 So. Jeffers St, North Platte NE 69101
DESCRIPTION: Secretary of LLC, The LLC provides consulting services for railroad retirees
5. 09/2017 - Priority Adult Learning Institute, Yes, 501 S Jeffers St., North Platte, NE 69101; instruct Adult Education classes through local colleges within the Midwestern region; Educator; 5 hours ; Zero; provide/teach quality information concerning the current/future financial environment.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas De Wayne 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®
Start date: 1990
Experience
Current
May 19, 2015 - Present
PROFESSIONAL FINANCIAL ADVISORS, LLC
Office #1: 1400 S Dewey St Suite 300, North Platte, NE 69101-5311RIA
CRD#: 173719
North Platte, NE
Past
April 16, 2010 - November 30, 2015
OSAIC SERVICES, INC.
RIA
CRD#: 133763
NORTH PLATTE, NE
Past
October 31, 2005 - December 31, 2018
OSAIC SERVICES, INC.
BD
CRD#: 133763
NORTH PLATTE, NE
Past
February 13, 2003 - October 1, 2010
PROFESSIONAL FINANCIAL ADVISORS, LLC
RIA
CRD#: 124602
NORTH PLATTE, NE
Past
July 18, 1995 - June 10, 2003
PERSONAL INVESTMENT MANAGEMENT SERVICES
RIA
CRD#: 116412
NORTH PLATTE, NE
Past
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 22, 1989 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
July 7, 1987 - March 29, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 24, 1984 - August 6, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
PF
PROFESSIONAL FINANCIAL ADVISORS, LLC
PROFESSIONAL FINANCIAL ADVISORS, LLC | TOTAL PORTFOLIOS
CRD#: 173719 / SEC#: 801-114978
RIA
Registered Investment Advisory firm - (4/10/2019 Approved)Colorado
Registered Investment Advisory firm - (4/24/2019 Terminated)Kansas
Registered Investment Advisory firm - (4/22/2019 Terminated)Missouri
Registered Investment Advisory firm - (4/22/2019 Terminated)Nebraska
Registered Investment Advisory firm - (4/22/2019 Terminated)Texas
Registered Investment Advisory firm - (4/22/2019 Terminated)Wyoming
Registered Investment Advisory firm - (4/22/2019 Terminated)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
Nebraska(5/19/2015)
IAR
Texas(9/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PF
PROFESSIONAL FINANCIAL ADVISORS, LLC
PROFESSIONAL FINANCIAL ADVISORS, LLC | TOTAL PORTFOLIOS
CRD#: 173719 / SEC#: 801-114978
RIA
Registered Investment Advisory firm - (4/10/2019 Approved)Colorado
Registered Investment Advisory firm - (4/24/2019 Terminated)Kansas
Registered Investment Advisory firm - (4/22/2019 Terminated)Missouri
Registered Investment Advisory firm - (4/22/2019 Terminated)Nebraska
Registered Investment Advisory firm - (4/22/2019 Terminated)Texas
Registered Investment Advisory firm - (4/22/2019 Terminated)Wyoming
Registered Investment Advisory firm - (4/22/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1400 S Dewey St Suite 300, North Platte, NE 69101-5311
Mailing Address
Po Box 1070, North Platte, NE 69103-1070
Phone number
(308) 534-8210
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,991 |
| AUM (Assets Under Management) | $ 614,113,385 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
