Anne E. 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.
Anne Elise Peterson, who also goes by Ann Peterson Jones, Ann Elise Peterson, Anne E Peterson, Anne Peterson, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1997. Anne had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2021 - October 11, 2023
VANGUARD ADVISERS, INC.
November 11, 2021 - October 11, 2023
VANGUARD MARKETING CORPORATION
July 8, 2020 - November 1, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 28, 2020 - October 29, 2021
FIDELITY BROKERAGE SERVICES LLC
October 19, 2018 - January 27, 2020
LPL FINANCIAL LLC
October 19, 2018 - January 27, 2020
LPL FINANCIAL LLC
January 21, 2015 - October 4, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 16, 2015 - October 4, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 16, 2011 - August 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2011 - August 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 11, 1999 - August 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 1997 - August 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
