Carl F. Petersen

CARL F. PETERSEN.

Prescott, AZ 86303

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CRD#: 2974039

Professional summary

Carl F Petersen is a registered financial advisor currently at CARL F. PETERSEN. INC located in Prescott, Arizona.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carl has worked at 1 firm and has passed the Series 65, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Carl F. Petersen is involved as a commodity pool operator or commodity trading advisor (whether registered or exempt from registration) with CB Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl F Petersen'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®

None

Experience

Current

November 7, 1997 - Present

CARL F. PETERSEN. INC

Office #1: 7270 S. Randy's Lane, Prescott, AZ 86303

RIA

CRD#: 109489

Prescott, AZ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(11/7/1997)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/7/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 10/3/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/3/1997

General Securities Representative Examination

Current Firm

CARL F. PETERSEN. INC

CARL F. PETERSEN, INC. | PETERSEN CARL F INC | CARL F. PETERSEN. INC

CRD#: 109489 / SEC#: 801-54960

RIA

Registered Investment Advisory firm - (2/21/2002 Terminated)

Arizona

Registered Investment Advisory firm - (7/9/1997 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Prescott, AZ

Mailing Address

Phone number

(602) 427-5631

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	134
AUM (Assets Under Management)	$ 43,050,000

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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Carl F. Petersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl F Petersen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARL F. PETERSEN. INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/1997

Series 3

Date: 10/3/2018

Series 7

Date: 11/3/1997

Current Firm

CARL F. PETERSEN. INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARL F. PETERSEN. INC

TRUST BUT VERIFY

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