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AP

Alan R. Peterson

Some features on this profile are disabled
CRD#: 1315018
AP

Professional summary

Alan Reinhold Peterson JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alan is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Alan had worked at 8 firms, which includes WM B AUSTIN & ASSOCIATES, NALICO EQUITY CORPORATION, INTEGRATED FINANCIAL PLANNING SERVICES, EASTBROKERS NORTH AMERICA INC., INTEGRATED RESOURCES EQUITY CORPORATION, FINANCIAL PLANNERS EQUITY CORPORATION, TITAN/VALUE EQUITIES GROUP INC., KMS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan Reinhold Peterson | Pete 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 10, 2000 - January 24, 2005

WM B AUSTIN & ASSOCIATES

BD
CRD#: 39866
57160 MOULINS,
Past

November 9, 1999 - November 7, 2000

NALICO EQUITY CORPORATION

BD
CRD#: 15530
GIESSEN,
Past

March 31, 1992 - November 18, 1999

INTEGRATED FINANCIAL PLANNING SERVICES

BD
CRD#: 17935
HEIDELBERG,
Past

December 19, 1989 - March 25, 1992

EASTBROKERS NORTH AMERICA, INC.

BD
CRD#: 10673
NEW YORK, NY
Past

June 26, 1987 - August 29, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

November 27, 1985 - May 18, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420
Past

April 2, 1985 - September 30, 1985

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
Past

December 10, 1984 - March 18, 1985

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 22
Date: 3/19/1988
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/17/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/7/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WB
WM B AUSTIN & ASSOCIATES
WM B AUSTIN & ASSOCIATES

CRD#: 39866 / SEC#: , 8-48881

BD
Terminated by SEC on 06/03/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/08/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AUSTIN, WILLIAM BENNETTREGISTERED PRINCIPAL1442665

Disclosures

Regulatory Event3

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.

Company Information

WM B AUSTIN & ASSOCIATES

CRD#: 39866

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