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Austin Lee Peterson

Austin Lee Peterson

CFP®, CLU®
BACKBONE PLANNING PARTNERS
Mesa, AZ
·CRD# 4196779·20 years experience

Professional Summary

Austin Lee Peterson, CFP®, CLU® is a registered financial advisor currently at BACKBONE PLANNING PARTNERS LLC located in Mesa, Arizona. Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Austin has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 2016
CLU®
Chartered Life Underwriter

Years of Experience

20 years in the financial services industry

Current & Past Employments

BACKBONE PLANNING PARTNERS LLC·CRD# 326699
RIA
1. 3707 E Southern Avenue Suite 2027, Mesa, AZ 852062. 7477 West Lake Mead Blvd Ste 270, Las Vegas, NV 89128
July 3, 2023 - Present
LPL FINANCIAL LLC·CRD# 6413
BD
Mesa, AZ
June 29, 2023 - January 31, 2025
OSAIC FA, INC.·CRD# 3978
RIA
Gilbert, AZ
December 21, 2016 - June 30, 2023
OSAIC FA, INC.·CRD# 3978
BD
Gilbert, AZ
March 24, 2015 - June 30, 2023
SYMETRA SECURITIES, INC.·CRD# 739
BD
Bellevue, WA
September 30, 2013 - February 17, 2015
SIGNATOR FINANCIAL SERVICES, INC.·CRD# 19061
BD
Bellevue, WA
April 15, 2013 - September 30, 2013
P.J. ROBB VARIABLE, LLC·CRD# 38339
BD
Salt Lake City, UT
July 19, 2010 - March 7, 2013
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
March 26, 2004 - November 26, 2004
A. CH. SECURITIES, INC.·CRD# 44630
BD
Dayton, OH
September 13, 2002 - September 12, 2003
PACIFIC SELECT DISTRIBUTORS, LLC·CRD# 4452
BD
Newport Beach, CA
July 16, 2001 - September 16, 2002
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
June 9, 2000 - May 15, 2001

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Current Firm

BP
BACKBONE PLANNING PARTNERS LLC

BACKBONE PLANNING PARTNERS LLC | PLANNING PARTNERS LLC

CRD#: 326699 / SEC#: 801-128212
RIA
Registered Investment Advisory firm - SEC (6/23/2023 Approved)
Arizona
Registered Investment Advisory firm - Arizona (6/11/2025 Terminated)
California
Registered Investment Advisory firm - California (7/11/2025 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (7/28/2025 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

7477 West Lake Mead Blvd Ste 270, Las Vegas, NV 89128

Phone Number

702569716

# of Employees

4

SEC notice filing (7 States and Territories)

Registered to provide investment advisory services in 7 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

360

AUM (Assets Under Management)

$98,392,218

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) 06/26/2023 - Mattress and Furniture Surplus - Business Owner - Utah 84604 - Non investment related - 10 Hours per month - Start date: 12/1/2015. 2) 06/26/2023 - Non-Variable Insurance - Selling: IUL, UL, WL and fixed annuities - AZ 85234 - Investment related - Hours per month - Start date: 8 6/30/2023. 3) 06/26/2023 - Backbone Planning Partners, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 4) 06/26/2023 - Oak Tree Venture Group, LLC - Business Entity For Tax/Investment Purposes Only - Utah 84604 - Non investment related - 10 Hours per month - Start date: 1/1/2021. 5) 06/26/2023 - Austin Lee Peterson - Radio Show - AZ 85234 - Noninvestment related - 4 Hours per month - Start date: 5/5/2020. 6) 07/05/2023 - Backbone Planning Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 6/30/2023 - 160 Hours Per Month/ 160 Hours During Trading - Time Spent 92% - I provide investment advisory services through Backbone Planning Partners, LLC, an independent investment advisor firm. I started this business activity in 06/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BP
BACKBONE PLANNING PARTNERS LLC

BACKBONE PLANNING PARTNERS LLC | PLANNING PARTNERS LLC

CRD#: 326699 / SEC#: 801-128212
RIA
Registered Investment Advisory firm - SEC (6/23/2023 Approved)
Arizona
Registered Investment Advisory firm - Arizona (6/11/2025 Terminated)
California
Registered Investment Advisory firm - California (7/11/2025 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (7/28/2025 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
IAR
Arizona
(7/5/2023)
IAR
California
(5/24/2024)
IAR
Nevada
(7/5/2023)
IAR
Texas
(4/2/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2017About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2010About the Series 6 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Austin Lee Peterson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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Austin Lee Peterson
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