Christopher M. Peters

ADP BROKER-DEALER

Louisville, KY 40299

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CRD#: 2819943

Professional summary

Christopher Matthew Peters, CFP®, who also goes by Christopher Matthew Peters Mr., is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Louisville, Kentucky.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Matthew Peters Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Matthew Peters's 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®

CFP^®

Certified Financial Planner

Experience

Current

September 29, 2014 - Present

ADP BROKER-DEALER, INC.

Office #1: 11405 Bluegrass Parkway, Louisville, KY 40299

CRD#: 37693

Louisville, KY

Past

August 24, 2011 - September 30, 2014

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

BOW, NH

Past

August 19, 2011 - September 30, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

WALTHAM, MA

Past

May 29, 2008 - October 11, 2010

AARP FINANCIAL

RIA

CRD#: 137631

TEWKSBURY, MA

Past

March 28, 2006 - October 6, 2010

ALPS DISTRIBUTORS, INC.

CRD#: 16853

TEWKSBURY, MA

Past

July 20, 2005 - November 2, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

January 30, 1997 - March 31, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/2/2014)

Alaska
(10/2/2014)

Arizona
(10/2/2014)

Arkansas
(10/2/2014)

California
(10/2/2014)

Colorado
(10/2/2014)

Connecticut
(10/2/2014)

Delaware
(10/2/2014)

District of Columbia
(10/2/2014)

Florida
(10/2/2014)

Georgia
(10/2/2014)

Hawaii
(10/2/2014)

Idaho
(10/2/2014)

Illinois
(10/2/2014)

Indiana
(10/2/2014)

Iowa
(10/2/2014)

Kansas
(10/2/2014)

Kentucky
(10/2/2014)

Louisiana
(10/2/2014)

Maine
(10/2/2014)

Maryland
(10/2/2014)

Massachusetts
(10/2/2014)

Michigan
(10/2/2014)

Minnesota
(10/2/2014)

Mississippi
(10/2/2014)

Missouri
(10/2/2014)

Montana
(10/2/2014)

Nebraska
(10/2/2014)

Nevada
(10/2/2014)

New Hampshire
(9/29/2014)

New Jersey
(10/2/2014)

New Mexico
(10/2/2014)

New York
(10/2/2014)

North Carolina
(10/2/2014)

North Dakota
(10/2/2014)

Ohio
(10/2/2014)

Oklahoma
(10/2/2014)

Oregon
(10/2/2014)

Pennsylvania
(10/2/2014)

Rhode Island
(10/2/2014)

South Carolina
(10/2/2014)

South Dakota
(10/2/2014)

Tennessee
(10/2/2014)

Texas
(10/2/2014)

Utah
(10/2/2014)

Vermont
(10/2/2014)

Virgin Islands
(5/3/2024)

Virginia
(10/2/2014)

Washington
(10/2/2014)

West Virginia
(10/2/2014)

Wisconsin
(10/2/2014)

Wyoming
(10/2/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ADP BROKER-DEALER, INC.

CRD#: 37693 / SEC#: , 8-47885

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Adp Boulevard, Roseland, NJ 07068-1786

Mailing Address

71 Hanover Road Ms - 580, Florham Park, NJ 07932

Phone number

(973) 712-2316

Established

New Jersey since 07/12/1994

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ADP ATLANTIC, LLC	SHAREHOLDER
BARRENECHEA, PATRICIA MARGOT	FINOP	1715189
BLAKE, JAMES PATRICK	PRESIDENT, DIRECTOR	3078844
BOYLE, JAMES RICHARD	AML OFFICER	3137180
DOSPASSOS-KRIEG, KRISTIN ANNE	DIRECTOR	3079254
HANLEY, JUANITA DAVIDA	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT	5217439
HODGES, JEFFRY AARON	DIRECTOR	5865575
HUREAU, MICHAEL RAY	DIRECTOR	5990787
MCCUE, TERRANCE	RISK MANAGEMENT OFFICER	7259942

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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Advisor Monitoring

Firm Stability Insights

Christopher M. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Matthew Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

AARP FINANCIAL

ALPS DISTRIBUTORS, INC.

OSAIC FS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2008

Series 63

Date: 5/1/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/27/2011

Series 6

Date: 1/29/1997

FINRA

Current Firm

ADP BROKER-DEALER, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ADP BROKER-DEALER, INC.

TRUST BUT VERIFY

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