Staci D. 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.
Staci Diann Peterson, who also goes by Staci D Ricketts, was a registered financial professional .
Staci is a previously registered financial professional and started their career in finance in 2010. Staci had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2021 - December 21, 2022
BUCKINGHAM STRATEGIC WEALTH, LLC
June 29, 2020 - November 30, 2021
THE PLANNED APPROACH
May 3, 2013 - June 29, 2020
THE PLANNED APPROACH
April 28, 2011 - April 12, 2013
SUNSET FINANCIAL SERVICES, INC.
December 17, 2010 - April 12, 2013
SUNSET FINANCIAL SERVICES, 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
Current Firm
BUCKINGHAM STRATEGIC WEALTH, LLC
CRD#: 143323 / SEC#: 801-67640
Contact information
Regulatory assets under management
| Total Number of Accounts | 51,749 |
| AUM (Assets Under Management) | $ 29,509,452,509 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/24/2024 | ||
| 07/22/2022 |
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.
