Carolyn A. 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.
Carolyn Ann Peterson, who also goes by Carolyn Ann Eschbaugh, Carolyn Ann Willey, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2000. Carolyn had worked at 3 firms and has passed the Series 66, SIE 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
July 12, 2019 - June 22, 2021
PATRIOT ASSET ADVISORS, LLC
July 7, 2000 - June 12, 2019
1ST GLOBAL ADVISORS INC
February 2, 2000 - June 12, 2019
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
PATRIOT ASSET ADVISORS, LLC
CRD#: 293632 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 373 |
| AUM (Assets Under Management) | $ 46,558,551 |
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.
