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BP

Bruce D. Peterson

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CRD#: 361290
BP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bruce Daniel Peterson, who also goes by Bruce D Peterson, was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1970. Bruce had worked at 9 firms and has passed the Series 65, Series 63, V06 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bruce D Peterson

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.
HALBERT HARGROVE/RUSSELL LLC. THE BUSINESS IS INVESTMENT RELATED. LOCATED AT 111 W OCEAN BLVD SUITE 2300, LONG BEACH CA 90802.THE FIRM IS A REGISTERED INVESTMENT ADVISOR. POSITION-INVESTMENT COUNSELOR. 05/16/94. HOURS MONTHY 156. TRADING HOURS 117. PROVIDING WEALTH MANAGEMENT SERVICES TO CLIENTS AND PROSPECTING

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 8, 2008 - December 31, 2010

HALBERT, HARGROVE & CO.

BD
CRD#: 2112
LONG BEACH, CA
Past

March 25, 2002 - May 1, 2007

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
DENVER, CO
Past

July 15, 1999 - May 1, 2007

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DENVER, CO
Past

January 1, 1999 - August 19, 2022

HALBERT HARGROVE

RIA
CRD#: 105515
Denver, CO
Past

June 22, 1992 - July 16, 1999

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

November 14, 1989 - June 23, 1992

KAVANAUGH SECURITIES, INC.

BD
CRD#: 10606
DALLAS, TX
Past

September 22, 1982 - March 17, 1987

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

July 16, 1982 - November 16, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

February 7, 1973 - December 8, 1987

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 2682
Past

June 25, 1970 - March 20, 1973

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/9/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
V06
Date: 6/23/1970
Variable Annuities Module Examination
Principal/Supervisory Exam
RR
Series 00
Date: 2/20/1973
General Securities Principal Examination

Current Firm

HH
HALBERT, HARGROVE & CO.
HALBERT, HARGROVE & CO.

CRD#: 2112 / SEC#: , 8-17940

BD
Terminated by SEC on 02/13/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/01/1974
Firm type
Corporation
Fiscal year end
January
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HILL, RUSSELL THOMASCHIEF COMPLIANCE OFFICER245988
HILL, RUSSELL THOMASPRESIDENT245988

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.

Company Information

HALBERT, HARGROVE & CO.

CRD#: 2112

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