Frederick William Peterson
Professional Summary
Frederick William Peterson is a registered financial advisor currently at HUDSON HERITAGE CAPITAL MANAGEMENT, INC. located in Croton-on-hudson, New York. Frederick is registered as a RR (Registered Representative) and started their career in finance in 1986. Frederick has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
Contact Information
Main Address
20 Baltic Place Suite 2 Suite 2, Croton-on-hudson, NY 10520Mailing Address
20 Baltic Place Suite 2, Croton-on-hudson, NY 10520Phone Number
(914) 271-8102Established
New York since 09/30/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
12SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
460AUM (Assets Under Management)
$128,660,000Similar Advisors
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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.
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Primary Firm SEC Registration
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
State Registrations and Notice Filings
(6/29/1998)
(6/8/2010)
(7/20/1998)
(4/9/1998)
(5/16/2001)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1986About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 1998About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frederick William Peterson's CRS (Customer Relationship Summary).
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