Russell A. 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.
Russell Andrew Peterson was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1995. Russell had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - December 23, 2019
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
October 18, 2002 - December 31, 2022
R.A. PETERSON ASSOCIATES, LLC
May 31, 1995 - June 6, 1997
ADVEST, INC.
Primary Firm SEC Registration
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
CRD#: 105060 / SEC#: 801-31820
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
Current Firm
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
CRD#: 105060 / SEC#: 801-31820
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 796 |
| AUM (Assets Under Management) | $ 1,390,600,540 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 10/24/2024 | ||
| 09/27/2023 |
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.
