Douglas D. Peterson

PROFESSIONAL FINANCIAL ADVISORS

North Platte, NE 69101-5311

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CRD#: 1303079

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas De Wayne Peterson's CRS (Customer Relationship Summary).

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: 1990

Experience

Current

May 19, 2015 - Present

PROFESSIONAL FINANCIAL ADVISORS, LLC

Office #1: 1400 S Dewey St Suite 300, North Platte, NE 69101-5311

RIA

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.

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.

CRD#: 20068

PHOENIX, AZ

Past

March 22, 1989 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

July 7, 1987 - March 29, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 24, 1984 - August 6, 1987

E. F. HUTTON & COMPANY INC

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

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 65

Date: 9/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/1989

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFESSIONAL FINANCIAL ADVISORS, LLC ADV BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	2,991
AUM (Assets Under Management)	$ 614,113,385

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.

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Firm Stability Insights

Douglas D. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas De Wayne Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

PROFESSIONAL FINANCIAL ADVISORS, LLC

PERSONAL INVESTMENT MANAGEMENT SERVICES

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

PROFESSIONAL FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1998

Series 63

Date: 10/4/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1984

Series 24

Date: 3/14/1989

Current Firm

PROFESSIONAL FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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