Eric A. Peterson

PETERSON FINANCIAL GROUP

Des Moines, IA 50309

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CRD#: 2559934

Professional summary

Eric Alan Peterson is a registered financial advisor currently at PETERSON FINANCIAL GROUP, INC. located in Des Moines, Iowa.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Eric has worked at 16 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

1) Agent; Insurance Sales; Investment Related: No; Location: 220 SW 9th Suite 230 Des Moines, IA 50309; Description of the business: Sale of fixed, fixed indexed annuities, and life insurance; Start date : 1998; Trading hours: 4/ month 2) President; ETTN Marketing Group, Inc.; Investment Related: No; Description of business: Marketing services (radio, television, commercials and consumer education events). Services used to market Peterson Financial Group advisory services. Trading hours: 1/ month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Alan 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

October 31, 2013 - Present

PETERSON FINANCIAL GROUP, INC.

Office #1: 220 Sw 9th St. Suite 230, Des Moines, IA 50309

RIA

CRD#: 169519

Des Moines, IA

Past

January 5, 2011 - November 29, 2013

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

W DES MOINES, IA

Past

January 5, 2010 - December 31, 2010

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

W DES MOINES, IA

Past

December 12, 2008 - November 29, 2010

AMERICAN INVESTMENT SERVICES

RIA

CRD#: 144088

WEST DES MOINES, IA

Past

October 1, 2008 - December 31, 2009

SYNERGY INVESTMENT GROUP, LLC

RIA

CRD#: 46035

DES MOINES, IA

Past

October 1, 2008 - December 31, 2009

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

DES MOINES, IA

Past

January 7, 2008 - September 30, 2008

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

DESMOINES, IA

Past

January 7, 2008 - September 30, 2008

USA FINANCIAL SECURITIES LLC

CRD#: 103857

DESMOINES, IA

Past

May 16, 2007 - December 31, 2007

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

ANKENY, IA

Past

May 16, 2007 - December 31, 2007

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

DES MOINES, IA

Past

January 8, 2007 - May 22, 2007

SUCCESSFUL RESOURCE MANAGEMENT, LTD.

RIA

CRD#: 110317

WEST DES MOINES, IA

Past

January 3, 2007 - May 21, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

WEST DES MOINES, IA

Past

May 4, 2004 - December 31, 2006

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

ANKENY, IA

Past

January 10, 2002 - November 21, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 31, 2001 - July 13, 2001

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

September 5, 2000 - May 14, 2001

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

November 3, 1998 - July 10, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 17, 1995 - November 10, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 3, 1995 - April 10, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

PETERSON FINANCIAL GROUP, INC.

CRD#: 169519 / SEC#: 801-120786

RIA

Registered Investment Advisory firm - (4/13/2021 Approved)

Iowa

Registered Investment Advisory firm - (4/20/2021 Terminated)

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).

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

Iowa
(10/31/2013)

IAR

Texas
(2/28/2024)

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: 12/11/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/23/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PETERSON FINANCIAL GROUP, INC.

CRD#: 169519 / SEC#: 801-120786

RIA

Registered Investment Advisory firm - (4/13/2021 Approved)

Iowa

Registered Investment Advisory firm - (4/20/2021 Terminated)

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Contact information

Main Address

220 Sw 9th St. Suite 230, Des Moines, IA 50309

Mailing Address

Phone number

(515) 226-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/28/2025)

WRAP BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	1,251
AUM (Assets Under Management)	$ 247,615,222

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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Eric A. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

MIDAMERICA FINANCIAL SERVICES, INC.

AMERICAN INVESTMENT SERVICES

SYNERGY INVESTMENT GROUP, LLC

SYNERGY INVESTMENT GROUP, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

SUCCESSFUL RESOURCE MANAGEMENT, LTD.

SECURITIES AMERICA, INC.

BROKER DEALER FINANCIAL SERVICES CORP.

LPL FINANCIAL LLC

LASALLE ST SECURITIES, L.L.C.

DIRECTED SERVICES LLC

LOCUST STREET SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PETERSON FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2006

Series 63

Date: 12/29/1994

Series 7

Date: 7/23/1997

Series 6

Date: 12/23/1994

Current Firm

PETERSON FINANCIAL GROUP, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PETERSON FINANCIAL GROUP, INC.

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