David A. Peterson
Professional summary
Being a previously registered professional could mean that this person 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.
David A Peterson, who also goes by David Allen Peterson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2020 - January 31, 2022
MERCER ALLIED COMPANY, L.P.
September 2, 2020 - January 28, 2022
GOLDMAN SACHS & CO. LLC
November 1, 2017 - May 10, 2019
CETERA WEALTH SERVICES, LLC
October 24, 2011 - January 28, 2022
UNITED CAPITAL FINANCIAL ADVISORS
October 21, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
June 20, 2003 - September 23, 2004
PEAK CAPITAL INVESTMENT SERVICES,LLC
June 13, 2002 - November 7, 2011
LPL FINANCIAL LLC
June 13, 2002 - November 7, 2011
LPL FINANCIAL LLC
July 5, 2000 - July 8, 2002
SII INVESTMENTS, INC.
October 30, 1998 - July 8, 2002
SII INVESTMENTS, INC.
September 12, 1997 - October 30, 1998
FSC SECURITIES CORPORATION
May 6, 1994 - September 19, 1997
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERCER ALLIED COMPANY, L.P.
CRD#: 37404 / SEC#: , 8-47739
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN SACHS WEALTH SERVICES, L.P. | SOLE LIMITED PARTNER | 106693 |
| GS AYCO HOLDING LLC | GENERAL PARTNER | |
| HALL, LARIK MARSHALL | PRESIDENT | 2634322 |
| KINOWSKI, KYLE T | VICE PRESIDENT | 4277862 |
| LUKS, SHELLEY M | VP & CHIEF FINANCIAL OFFICER | 6004389 |
| NASS, JEREMY PAUL | VP & CHIEF OPERATIONS OFFICER | 4244509 |
| RYAN, DIANA ELIZABETH | VP & CHIEF COMPLIANCE OFFICER | 2780148 |
| VOLSKY, MELISSA C | VICE PRESIDENT | 4648752 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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