Charles R. Peterson

THE GOFF FINANCIAL GROUP

Houston, TX 77046

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CRD#: 1938383

Professional summary

Charles Richard Peterson, CIMA®, who also goes by C Rich Peterson, Charles Rich Peterson, Rich Peterson, Rick Peterson, is a registered financial advisor currently at THE GOFF FINANCIAL GROUP located in Houston, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Charles has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

C Rich Peterson | Charles Rich Peterson | Rich Peterson | Rick 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) - RIA

Click below to view Charles Richard 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 12, 2017 - Present

THE GOFF FINANCIAL GROUP

Office #1: 11 Greenway Plaza Suite 1425, Houston, TX 77046

RIA

CRD#: 114796

Houston, TX

Past

November 18, 2008 - September 8, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MIDLAND, TX

Past

November 18, 2008 - September 8, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MIDLAND, TX

Past

June 20, 2006 - April 3, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIDLAND, TX

Past

June 20, 2006 - April 3, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIDLAND, TX

Past

October 22, 2004 - June 6, 2006

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

CHICAGO, IL

Past

June 2, 2004 - June 6, 2006

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

April 26, 2000 - March 30, 2004

ING INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 21644

NEW YORK, NY

Past

March 28, 1994 - January 28, 1999

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

December 7, 1992 - March 31, 1994

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

Past

September 4, 1992 - December 10, 1992

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

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".

THE GOFF FINANCIAL GROUP

CRD#: 114796 / SEC#: 801-62129

RIA

Registered Investment Advisory firm - (6/19/2003 Approved)

Texas

Registered Investment Advisory firm - (5/18/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(5/12/2017)

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

IAR

Series 65

Date: 5/12/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/3/1992

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 3/28/1991

Non-Member General Securities Examination

Current Firm

THE GOFF FINANCIAL GROUP

CRD#: 114796 / SEC#: 801-62129

RIA

Registered Investment Advisory firm - (6/19/2003 Approved)

Texas

Registered Investment Advisory firm - (5/18/2006 Terminated)

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Contact information

Main Address

11 Greenway Plaza Suite 1425, Houston, TX 77046

Mailing Address

Po Box 22128, Houston, TX 77227-2128

Phone number

(713) 850-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOFF ADV 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	639
AUM (Assets Under Management)	$ 572,591,176

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.

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Charles R. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Richard Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

ING INVESTMENT MANAGEMENT SERVICES LLC

GLEACHER & COMPANY SECURITIES, INC.

BREAN MURRAY & CO., INC.

OSCAR GRUSS & SON INCORPORATED

Primary Firm SEC Registration

THE GOFF FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2017

Series 63

Date: 3/4/1991

Series 7

Date: 9/3/1992

Series 2

Date: 3/28/1991

Current Firm

THE GOFF FINANCIAL GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE GOFF FINANCIAL GROUP

TRUST BUT VERIFY

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