Lance E. Peterson

WAKEFIELD ASSET MANAGEMENT, LLLP

Englewood, CO 80111

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CRD#: 2415886

Professional summary

Lance Eric Peterson is a registered financial advisor currently at WAKEFIELD ASSET MANAGEMENT, LLLP located in Englewood, Colorado.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Lance has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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 Lance Eric 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

December 1, 2021 - Present

WAKEFIELD ASSET MANAGEMENT, LLLP

Office #1: 7887 East Belleview Ave, Suite #800, Englewood, CO 80111

RIA

CRD#: 143720

Englewood, CO

Past

June 5, 2018 - January 6, 2020

RAYMOND JAMES INVESTMENT MANAGEMENT

RIA

CRD#: 174904

Kansas City, MO

Past

November 18, 2017 - January 7, 2020

CARILLON FUND DISTRIBUTORS, INC.

CRD#: 139749

ST. PETERSBURG, FL

Past

February 11, 2010 - November 21, 2017

DISTRIBUTION SERVICES, LLC

CRD#: 25938

KANSAS CITY, MO

Past

June 22, 2009 - November 21, 2017

SCOUT INVESTMENTS, INC.

RIA

CRD#: 111787

KANSAS CITY, MO

Past

August 29, 2005 - February 18, 2010

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

DENVER, CO

Past

November 11, 2003 - July 26, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 6, 1994 - August 18, 2003

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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".

WAKEFIELD ASSET MANAGEMENT, LLLP

CRD#: 143720 / SEC#: 801-68152

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

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

Colorado
(12/1/2021)

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 66

Date: 6/21/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/5/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/22/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WAKEFIELD ASSET MANAGEMENT, LLLP

CRD#: 143720 / SEC#: 801-68152

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

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Contact information

Main Address

7887 East Belleview Ave, Suite #800, Englewood, CO 80111

Mailing Address

Phone number

(303) 771-0630

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 371,192,055

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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Advisor Monitoring

Firm Stability Insights

Lance E. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Eric Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES INVESTMENT MANAGEMENT

CARILLON FUND DISTRIBUTORS, INC.

DISTRIBUTION SERVICES, LLC

SCOUT INVESTMENTS, INC.

UMB FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

WAKEFIELD ASSET MANAGEMENT, LLLP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2009

Series 63

Date: 8/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1999

Series 6

Date: 5/5/1994

Series 26

Date: 6/22/1998

Current Firm

WAKEFIELD ASSET MANAGEMENT, LLLP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAKEFIELD ASSET MANAGEMENT, LLLP

TRUST BUT VERIFY

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