EP
Edward M. Peterson
TRANSAMERICA FINANCIAL ADVISORS
Plano, TX 75074
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CRD#: 2482740
EP
Professional summary
Edward M Peterson, who also goes by Ed Peterson, Eddie Peterson, Edward Michael Peterson, Ed Peterson, Eddie Peterson, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Plano, Texas.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Edward has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Peterson | Eddie Peterson | Edward Michael Peterson | Ed Peterson | Eddie 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. 11/2023PRESENTJ.Grant InsurancePlanoTexasUnited StatesYesOffice Administrator 05/2017PRESENTWealthWaveJohns CreekGeorgiaUnited StatesYesNA QRS BUSINESS SOLUTIONS POSITION: Assistant NATURE: Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/10/2024 ADDRESS: 730 E Park Blvd #104, Plano TX 75074, United States DESCRIPTION: Meet with individuals to gather and scan their tax documents, then forward them to the tax preparer. Print and obtain signatures on completed tax returns, them mail them to the I.R.S. STUDENT OPTIMUM SERVICES POSITION: Referral Partner NATURE: Student Loan Forgiveness INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2025 ADDRESS: 1160 N Central Ave, Glendale CA 91202, United States DESCRIPTION: Refer individuals that are paying down their student loans to see if they qualify to have their loans forgiven.
CRS (Client Relationship Summary) - RIA
Click below to view Edward M Peterson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward M 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®
NoneExperience
Current
June 10, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 730 E Park Blvd Suite 104, Plano, TX 75074RIA
BD
CRD#: 16164
Plano, TX
Current
May 9, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 730 E Park Blvd Suite 104, Plano, TX 75074RIA
BD
CRD#: 16164
Plano, TX
Past
April 27, 2016 - August 22, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DALLAS, TX
Past
August 12, 2013 - April 25, 2014
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
DALLAS, TX
Past
July 7, 1995 - November 5, 2012
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
June 22, 1994 - January 20, 1995
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
SMITHFIELD, RI
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.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
California(5/30/2023)
RR
Texas(5/9/2017)
IAR
Texas(6/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
