Douglas W. Peterson

PRUDENTIAL ANNUITIES DISTRIBUTORS,

Alexandria, MN

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CRD#: 3175955

Professional summary

Douglas Wayne Peterson is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Alexandria, Minnesota.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1999. Douglas has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Wayne Peterson's CRS (Customer Relationship Summary).

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

March 26, 2020 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

Alexandria, MN

Past

August 12, 2008 - March 31, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

ALEXANDRIA, MN

Past

October 19, 2005 - April 10, 2007

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST PAUL, MN

Past

January 22, 2001 - August 4, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 16, 1999 - December 1, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

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

Minnesota
(3/26/2020)

New Mexico
(1/24/2025)

South Dakota
(3/26/2020)

Exams

State Security Law Exam

Series 63

Date: 5/15/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/13/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/12/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/27/2012

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

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

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Contact information

Main Address

One Corporate Drive, Shelton, CT 06484

Mailing Address

One Corporate Drive, Shelton, CT 06484

Phone number

(800) 628-6039

Established

Delaware since 09/08/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SHAREHOLDER COMMON
CARROLL, TRACEY MARIA	PRESIDENT	5841463
HAGGERTY, SCOTT PETER	CHIEF EXECUTIVE OFFICER	2619329
HARTNETT, CHRISTINA A	CHIEF OPERATING OFFICER	2672099
MCGRATH, SHANE THOMAS	CHIEF COMPLIANCE OFFICER	4458909
SMIT, ROBERT PHILIP	FINOP, CFO	2332366
THOMSEN, JORDAN K	CHIEF LEGAL OFFICER AND SECRETARY	2821664

Disclosures

Regulatory Event	2
Civil Event	1

Red Flags

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Firm Stability Insights

Douglas W. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Wayne Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/15/2012

Series 66

Date: 4/13/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2006

Series 6

Date: 2/12/1999

Series 26

Date: 6/27/2012

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

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