CP
Carl J. Peterson
LRI INVESTMENTS
West Hartford, CT 06107
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CRD#: 1773452
CP
Professional summary
Carl James Peterson, ChFC®, CLU® is a registered financial advisor currently at LRI INVESTMENTS located in West Hartford, Connecticut and M HOLDINGS SECURITIES, INC. located in West Hartford, Connecticut.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Carl has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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. The Bushnell Performing Arts Center; 166 Capitol Avenue, Hartford CT 06106; Performing Arts Center; Not Investment Related; Board of Trustees; Provide strategic direction to management; 4/1/2018; 3 hours/month, 3 hours/month during trading hours. 2. Hartford Foundation for Public Giving; 10 Columbia Boulevard, 8th Floor, Hartford, CT 06106; 04/01/2020; Investment Committee Member; Work to develop investment strategy and monitor performance; Investment Related; 2 hours/month; 1 hour/month during trading hours. 3. Lindberg & Ripple; 29 South Main Street, Suite 311, West Hartford, CT 06107; 08/01/1995; Principal; Life insurance and investment advisory services; Investment Related; 280 hours/month; 160 hours/month during trading hours. 4. Lindberg & Ripple, LRI Investments, LLC; 3825 PGA Boulevard, Suite 303, Palm Beach Gardens FL 33410; Registered Investment Advisor; Investment Related; Member; Management; 07/2023; 2 Hours Per Month; 2 Hours Per Month During Trading Hours. 5. LRI Holdings LLC; 29 South Main Street, Suite 311, West Hartford, CT 06107; entity holds passive investments; Investment related; Member; Determines participation in investment opportunities; 05/21/2014; 1 hr/month; 1 hr/month during trading hours. 6. SP Investments Squared, LLC; 3825 PGA Blvd, Suite 303, Palm Beach Gardens FL 33410; Holding company for RIA interest; Investment Related; Member; Member of administrative entity; 02/01/2025; 0 hr/mo; 0 hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Carl James Peterson'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®
Experience
Current
April 3, 2024 - Present
LRI INVESTMENTS
Office #1: 29 South Main Street Suite 210, West Hartford, CT 06107RIA
CRD#: 323556
West Hartford, CT
Current
August 14, 2000 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 29 South Main St., Ste 311, West Hartford, CT 06107RIA
BD
CRD#: 43285
West Hartford, CT
Past
October 31, 2016 - April 1, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
WINDSOR, CT
Past
March 12, 1996 - August 17, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
March 3, 1989 - October 2, 1995
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 9, 1988 - October 2, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
Registered Investment Advisory firm - (4/12/2024 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/9/2023)
RR
Connecticut(8/14/2000)
IAR
Connecticut(4/3/2024)
RR
Florida(1/22/2002)
RR
Illinois(8/14/2000)
RR
Indiana(12/4/2024)
RR
Massachusetts(1/22/2002)
RR
New Hampshire(1/23/2024)
RR
New Jersey(5/11/2022)
RR
New York(1/22/2002)
RR
North Carolina(5/9/2018)
RR
Pennsylvania(5/11/2022)
RR
Rhode Island(1/23/2024)
RR
Tennessee(9/1/2022)
RR
Texas(1/9/2023)
RR
Virginia(1/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
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Contact information
Main Address
3825 Pga Blvd Suite 303, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
(561) 323-2265
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,295 |
| AUM (Assets Under Management) | $ 1,404,038,363 |
Red Flags
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