Jon C. 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.
Jon Charles Peterson, who also goes by Jon Finance Peterson, Jon C Peterson, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1996. Jon had worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2019 - April 24, 2021
TD AMERITRADE CLEARING, INC.
April 22, 2006 - April 24, 2021
TD AMERITRADE, INC.
March 29, 2000 - April 22, 2006
TD AMERITRADE CLEARING, INC.
January 29, 1998 - December 31, 2001
J.P. SECURITIES, INC.
August 28, 1996 - January 9, 1998
ACCUTRADE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/17/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
