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John Charles Peterson Jr

CRD# 1687163·Registered 1987 - 1993
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Charles Peterson JR was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1987 - 1993. John had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

CULLUM & SANDOW SECURITIES, INC.·CRD# 15836
BD
Dallas, TX
January 22, 1993 - November 5, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.·CRD# 28417
BD
Tulsa, OK
December 16, 1991 - February 3, 1993
MID-SOUTH INVESTMENT CORPORATION OF HOT SPRINGS·CRD# 26449
BD
December 19, 1990 - August 14, 1992
THE TRADING DESK, INC.·CRD# 22908
BD
July 20, 1990 - August 31, 1990
M.G.S.I. SECURITIES, INC.·CRD# 16723
BD
Houston, TX
March 26, 1990 - July 24, 1990
LASALLE ST SECURITIES, L.L.C.·CRD# 7191
BD
Elmhurst, IL
January 16, 1990 - March 22, 1990
SWINK & COMPANY, INC.·CRD# 7111
BD
April 20, 1989 - January 1, 1990
TITAN/VALUE EQUITIES GROUP, INC.·CRD# 6359
BD
Irvine, CA
March 8, 1989 - April 21, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC·CRD# 11025
BD
St. Louis, MO
February 13, 1989 - March 11, 1989
U.S. ASSOCIATES, INC.·CRD# 13511
BD
July 22, 1987 - February 13, 1989

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Current Firm

C&
CULLUM & SANDOW SECURITIES, INC.

CULLUM & SANDOW SECURITIES, INC. | THE HICKS COMPANY | IFP, INCORPORATED

CRD#: 15836 / SEC#: 8-32818
BD
Terminated by SEC on 11/03/1997

Contact Information

Established

Texas since 02/21/1984

Firm Type

Corporation

Fiscal Year End

June

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1990About the Series 24 exam

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CRS (Client Relationship Summary)

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

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