John D. Peterson

CWM FINANCIAL GROUP

Rockville, MD 20850

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CRD#: 2282223

Professional summary

John David Peterson is a registered financial advisor currently at CWM FINANCIAL GROUP, INC. located in Rockville, Maryland.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 5 firms and has passed the Series 65, Series 63, Series 31 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David 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®

None

Experience

Current

August 19, 1998 - Present

CWM FINANCIAL GROUP, INC.

Office #1: 1 Research Court Suite 450, Rockville, MD 20850

RIA

CRD#: 117255

Rockville, MD

Past

August 1, 1995 - December 2, 2005

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

GAITHERSBURG, MD

Past

August 12, 1994 - June 9, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 12, 1994 - June 9, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 9, 1992 - June 21, 1994

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

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

District of Columbia
(8/1/2012)

IAR

Maryland
(8/19/1998)

IAR

Virginia
(4/8/1999)

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: 2/22/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/10/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/7/1992

General Securities Representative Examination

Current Firm

CWM FINANCIAL GROUP, INC.

CRD#: 117255 / SEC#: 801-65119

RIA

Registered Investment Advisory firm - (9/18/2012 Terminated)

California

Registered Investment Advisory firm - (6/16/2024 Terminated)

District of Columbia

Registered Investment Advisory firm - (8/1/2012 Approved)

Maryland

Registered Investment Advisory firm - (9/6/2012 Approved)

Virginia

Registered Investment Advisory firm - (6/23/2012 Approved)

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).

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Contact information

Main Address

1 Research Court Suite 450, Rockville, MD 20850

Mailing Address

953d Russell Avenue, Gaithersburg, MD 20879

Phone number

(301) 840-1188

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	162
AUM (Assets Under Management)	$ 86,955,183

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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John D. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CWM FINANCIAL GROUP, INC.

GROVE POINT INVESTMENTS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

KEOGLER, MORGAN & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/1993

Series 63

Date: 10/9/1992

Series 31

Date: 9/10/1999

Series 7

Date: 10/7/1992

Current Firm

CWM FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CWM FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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