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JP

James W. Peterson

AMERICAN FUNDS & TRUSTS
Salt Lake City, UT 84115-3554
Some features on this profile are disabled
CRD#: 1848936
JP

Professional summary

James Wilson Peterson, who also goes by Jamie Peterson, is a registered financial professional currently at AMERICAN FUNDS & TRUSTS INCORPORATED located in Salt Lake City, Utah.

James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Peterson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Wilson Peterson's CRS (Customer Relationship Summary).
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

January 6, 2005 - Present

AMERICAN FUNDS & TRUSTS INCORPORATED

Office #1: 3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554Office #2: 3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554
BD
CRD#: 1066
Salt Lake City, UT
Past

April 15, 2004 - December 31, 2004

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

October 10, 2001 - April 19, 2004

PAN-AMERICAN FINANCIAL ADVISERS

BD
CRD#: 15578
NEW ORLEANS, LA
Past

July 12, 2000 - March 23, 2001

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

March 6, 1998 - August 18, 2000

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

July 13, 1988 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

July 11, 1988 - March 16, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Utah
(1/6/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AMERICAN FUNDS & TRUSTS INCORPORATED
AMERICAN FUNDS & TRUSTS INCORPORATED

CRD#: 1066 / SEC#: , 8-6939

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554
Mailing Address
3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554
Phone number
(801) 466-8701
Established
Utah since 11/03/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TAGGART, RICHARD MILTONPRESIDENT, CFO441921
TAGGART, RICHARD PATRICKVICE PRESIDENT, CEO, COO, CCO2853896

Disclosures

Regulatory Event1

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.

Company Information

AMERICAN FUNDS & TRUSTS INCORPORATED

CRD#: 1066Salt Lake City, UT 84115-3554

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