Douglas S. Petersen

AMIDON & PETERSEN FINANCIALS

Niverville, NY

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CRD#: 361162

Professional summary

Douglas Skilton Petersen, who also goes by Doug Petersen, is a registered financial advisor currently at AMIDON & PETERSEN FINANCIALS, LLC located in Niverville, New York.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Petersen

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.

1. Fixed insurance sales; as of 10/2001; 3% of time spent during business hours; Conducted at branch location; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Skilton Petersen'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

December 16, 2019 - Present

AMIDON & PETERSEN FINANCIALS, LLC

RIA

CRD#: 143079

Niverville, NY

Past

March 3, 2025 - June 2, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

CASTLETON, NY

Past

March 3, 2025 - June 2, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CASTLETON, NY

Past

September 1, 2017 - March 5, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

Niverville, NY

Past

February 4, 2008 - September 5, 2017

GWN SECURITIES INC.

CRD#: 128929

NIVERVILLE, NY

Past

December 17, 2002 - August 1, 2007

EQUITY SERVICES, INC.

CRD#: 265

NIVERVILLE, NY

Past

September 21, 2001 - November 20, 2002

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

December 12, 1991 - June 14, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 12, 1989 - September 28, 1989

BNE CAPITAL MARKETS, INC.

CRD#: 22848

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".

AMIDON & PETERSEN FINANCIALS, LLC

CRD#: 143079 / SEC#: 801-81020

RIA

Registered Investment Advisory firm - (2/23/2015 Approved)

New York

Registered Investment Advisory firm - (3/13/2015 Terminated)

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).

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

Florida
(12/16/2019)

IAR

New York
(7/15/2021)

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: 12/8/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/1/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 53

Date: 4/20/1989

Municipal Securities Principal Examination

Current Firm

AMIDON & PETERSEN FINANCIALS, LLC

CRD#: 143079 / SEC#: 801-81020

RIA

Registered Investment Advisory firm - (2/23/2015 Approved)

New York

Registered Investment Advisory firm - (3/13/2015 Terminated)

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Contact information

Main Address

Niverville, NY

Mailing Address

Po Box 63, Niverville, NY 12130

Phone number

(518) 772-3684

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMIDON & PETERSEN FINANCIALS, LLC ADV BROCHURE (11/14/2025)

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 36,564,937

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Douglas S. Petersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Skilton Petersen's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CADARET, GRANT & CO., INC.

GWN SECURITIES INC.

EQUITY SERVICES, INC.

HSBC BROKERAGE (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BNE CAPITAL MARKETS, INC.

Primary Firm SEC Registration

AMIDON & PETERSEN FINANCIALS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2017

Series 63

Date: 12/24/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/11/1991

Series 8

Date: 7/1/1996

Series 53

Date: 4/20/1989

Current Firm

AMIDON & PETERSEN FINANCIALS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMIDON & PETERSEN FINANCIALS, LLC

TRUST BUT VERIFY

Contact information

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