Daniel Joseph Peterson
Professional Summary
Daniel Joseph Peterson is a registered financial advisor currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 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
This advisor has not added any videos or posts yet.
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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 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.
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Years of Experience
37 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
Contact Information
Main Address
One Franklin Parkway, San Mateo, CA 94403Mailing Address
1201 Wills Street, Baltimore, MD 21231Phone Number
(800) 632-2350Established
Delaware since 12/01/2000Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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
(7/7/2021)
(1/5/2022)
(7/7/2021)
(7/7/2021)
(1/17/2024)
(1/17/2024)
(1/5/2022)
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 Sep 1989About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Peterson's CRS (Customer Relationship Summary).
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