Paul R. Peterson
Professional summary
Paul R Peterson, who also goes by Paul Richard Peterson, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Winter Park, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Paul R Peterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2014 - Present
FIRST TRUST ADVISORS LP
September 9, 2014 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187October 18, 2010 - September 3, 2014
INVESCO ADVISERS, INC.
June 1, 2010 - September 3, 2014
INVESCO DISTRIBUTORS, INC.
April 23, 2004 - June 3, 2010
VAN KAMPEN ADVISORS INC
August 14, 1999 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2014)
(3/19/2025)
(9/9/2014)
(9/9/2014)
Exams
FINRA
Current Firm
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
Red Flags
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