Richard H. 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 Hall Peterson, who also goes by Dick Peterson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - October 20, 2014
MCADAMS WRIGHT RAGEN, INC.
May 14, 2012 - October 20, 2014
MCADAMS WRIGHT RAGEN, INC.
January 3, 2011 - May 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - May 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 11, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 19, 2006 - January 3, 2007
WELLS FARGO INVESTMENTS, LLC
August 2, 2001 - January 3, 2007
WELLS FARGO INVESTMENTS, LLC
April 11, 1994 - July 30, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 5, 1973 - April 15, 1994
PETERSON & COMPANY, INC.
September 24, 1971 - October 5, 1973
PETERSON-EDMUNDS INCORPORATED
May 29, 1970 - September 24, 1971
PETERSON & COMPANY, 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 8
Date: 5/9/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MCADAMS WRIGHT RAGEN, INC.
CRD#: 45899 / SEC#: 801-55918, 8-51232
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| DIRECTOR, DAVID JEROME | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | 1060159 |
| GUAGLIARDO, ALICIA MARIA | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2091180 |
| MCADAMS, SCOTT WAYNE | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 1559165 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| RAGEN, BROOKS GEER | CHAIRMAN OF THE BOARD/DIRECTOR | 370117 |
| RAGEN, CAMERON BROOKS | SENIOR VICE PRESIDENT | 2140003 |
| ROGOWSKI, ROBERT JOHN | MANAGING DIRECTOR & DEPART CHAIR, INVESTMENT BANKING | 1818321 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| ZARCONE, DOMINICK PAUL | DIRECTOR | 2154034 |
Disclosures
| Regulatory Event | 5 |
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.
