John E. 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.
John Eric Peterson, CFP®, who also goes by John E Peterson, John Eric Petterson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, 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
July 8, 2019 - September 15, 2023
POST OAK PRIVATE WEALTH ADVISORS
July 1, 2003 - July 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1987 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 27, 1987 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 19, 1985 - April 3, 1987
THE STUART-JAMES COMPANY, INCORPORATED
January 7, 1985 - December 13, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
POST OAK PRIVATE WEALTH ADVISORS
CRD#: 159293 / SEC#: 801-117111
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
Series 15
Date: 5/17/1988
Foreign Currency Options ExaminationCurrent Firm
POST OAK PRIVATE WEALTH ADVISORS
CRD#: 159293 / SEC#: 801-117111
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 679 |
| AUM (Assets Under Management) | $ 282,025,465 |
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.
