Ronald G. Petersen

PETERSEN AND HICKS

Campbell, CA 95008

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CRD#: 1488844

Professional summary

Ronald Gregory Petersen is a registered financial advisor currently at PETERSEN AND HICKS located in Campbell, California.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Ronald has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.) PETERSEN & HICKS; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE: 3/1/2020 2.) PETERSEN & HICKS; REGISTERED INVESTMENT ADVISOR; START DATE: 3/1/2020 3.)RONALD PETERSEN; OWNER; INSURANCE; START DATE: 6/1/1990

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Gregory Petersen'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®

None

Experience

Current

March 13, 2018 - Present

PETERSEN AND HICKS

Office #1: 1901 S. Bascom Ave, #1400, Campbell, CA 95008

RIA

CRD#: 124568

Campbell, CA

Past

September 8, 1997 - December 21, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

CAMPBELL, CA

Past

May 18, 1989 - September 23, 1997

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

May 21, 1987 - May 22, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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

California
(3/13/2018)

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

Series 63

Date: 5/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/29/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/1998

General Securities Principal Examination

Current Firm

PETERSEN AND HICKS

PETERSEN & ASSOCIATES | PETERSEN, RONALD GREGORY | PETERSEN AND HICKS

CRD#: 124568 / SEC#:

California

Registered Investment Advisory firm - (1/20/1995 Approved)

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Contact information

Main Address

1901 S. Bascom Ave, #1400, Campbell, CA 95008

Mailing Address

Phone number

(408) 369-7390

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

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Ronald G. Petersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Gregory Petersen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PETERSEN AND HICKS

FIRST ALLIED SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/1987

SIE

Date: 10/1/2018

Series 3

Date: 6/29/1987

Series 7

Date: 5/16/1987

Series 24

Date: 1/20/1998

Current Firm

PETERSEN AND HICKS

Contact information

Documents

Red Flags

Company Information

PETERSEN AND HICKS

TRUST BUT VERIFY

Contact information

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