Erlend J. Peterson
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.
Erlend James Peterson was a registered financial advisor .
Erlend is a previously registered financial advisor and started their career in finance in 1973. Erlend had worked at 8 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2004 - August 11, 2004
ASSOCIATED SECURITIES CORP.
July 8, 1997 - March 18, 2004
ASSOCIATED SECURITIES CORP.
July 8, 1997 - March 19, 2004
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
February 12, 1992 - March 18, 2004
ASSOCIATED SECURITIES CORP.
April 11, 1990 - February 7, 1992
KEOGLER, MORGAN & COMPANY, INC.
August 17, 1982 - April 3, 1990
TITAN/VALUE EQUITIES GROUP, INC.
April 24, 1975 - August 31, 1982
ENTERPRISE FUND DISTRIBUTORS, INC.
October 1, 1973 - June 14, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
October 1, 1973 - June 14, 1975
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 1973 - June 14, 1975
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/24/1973
Registered Representative ExaminationCurrent Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
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.
