James S. 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.
James Scott Peterson, who also goes by Jamie Peterson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6, Series 14 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
July 25, 2016 - July 30, 2024
WELLINGTON FUNDS DISTRIBUTORS INC.
December 20, 2002 - September 21, 2005
CITIGROUP GLOBAL MARKETS INC.
March 17, 1999 - December 9, 2002
APEX CLEARING CORPORATION
January 1, 1999 - March 11, 1999
MERCER PARTNERS INCORPORATED
January 8, 1997 - December 7, 1998
VALUE INVESTING PARTNERS, INC.
April 10, 1996 - October 17, 1996
MERIT CAPITAL ASSOCIATES, INC.
September 15, 1994 - April 10, 1996
NEW ENGLAND SECURITIES
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
Series 55
Date: 1/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768 / SEC#: , 8-68476
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
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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