Richard C. 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.
Richard Charles Peterson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 14 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
August 5, 1981 - June 26, 2023
LIBERTY INVESTMENT COUNSEL, LTD.
January 29, 1976 - July 22, 1981
ALL AMERICAN MANAGEMENT CORPORATION
May 4, 1973 - March 2, 1976
EDWARD JONES
May 1, 1969 - May 26, 1973
REYNOLDS SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/25/1969
Registered Representative ExaminationCurrent Firm
LIBERTY INVESTMENT COUNSEL, LTD.
CRD#: 10062 / SEC#: , 8-26128
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PETERSON, RICHARD CHARLES | PRESIDENT, CHIEF COMPLIANCE OFFICER | 361552 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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