John D. Peterson

HIGHLAND ASSOCIATES

Birmingham, AL 35205

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CRD#: 3207374

Professional summary

John Derek Peterson is a registered financial advisor currently at HIGHLAND ASSOCIATES INC located in Birmingham, Alabama.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. John has worked at 3 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Derek 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

January 2, 2019 - Present

HIGHLAND ASSOCIATES INC

Office #1: 2545 Highland Avenue South Suite 200, Birmingham, AL 35205

RIA

CRD#: 104948

Birmingham, AL

Past

January 18, 2008 - October 31, 2018

REGIONS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111715

BIRMINGHAM, AL

Past

April 13, 2005 - January 29, 2008

AMSOUTH ASSET MANAGEMENT, INC.

RIA

CRD#: 111554

BIRMINGHAM, AL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HIGHLAND ASSOCIATES INC

ALABAMA HIGHLAND ASSOCIATES, INC. | HIGHLAND ASSOCIATES INC OF TUCSON | HIGHLAND ASSOCIATES INC

CRD#: 104948 / SEC#: 801-30248

RIA

Registered Investment Advisory firm - (8/21/1987 Approved)

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

Alabama
(1/2/2019)

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: 4/12/2005

Uniform Investment Adviser Law Examination

Current Firm

HIGHLAND ASSOCIATES INC

ALABAMA HIGHLAND ASSOCIATES, INC. | HIGHLAND ASSOCIATES INC OF TUCSON | HIGHLAND ASSOCIATES INC

CRD#: 104948 / SEC#: 801-30248

RIA

Registered Investment Advisory firm - (8/21/1987 Approved)

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Contact information

Main Address

2545 Highland Avenue South Suite 200, Birmingham, AL 35205

Mailing Address

Phone number

(205) 933-8664

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGHLAND ASSOCIATES, INC. FORM ADV BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 20,137,309,817

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/25/2025	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John D. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Derek Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHLAND ASSOCIATES INC

REGIONS INVESTMENT MANAGEMENT, INC.

AMSOUTH ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

HIGHLAND ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/2005

Current Firm

HIGHLAND ASSOCIATES INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HIGHLAND ASSOCIATES INC

TRUST BUT VERIFY

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