Pauline L. 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.
Pauline Luce Peterson, who also goes by Pauline L Peterson, was a registered financial professional .
Pauline is a previously registered financial professional and started their career in finance in 1995. Pauline had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2021 - December 31, 2024
THE LEADERS GROUP, INC.
January 18, 2019 - June 1, 2021
ESSEX FINANCIAL SERVICES, INC.
January 17, 2019 - December 26, 2024
ESSEX FINANCIAL SERVICES, INC.
December 11, 2003 - July 12, 2017
STRATEGIC ADVISERS LLC
April 5, 2001 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
March 1, 1996 - December 8, 1997
MML INVESTORS SERVICES, LLC
February 20, 1996 - March 1, 1996
G. R. PHELPS & CO., INC.
August 24, 1995 - March 15, 1996
LPL FINANCIAL LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
