Evan M. 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.
Evan Michael Peterson, CFP® was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 2002. Evan had worked at 4 firms and has passed the Series 66, Series 55 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
Start date: 2007
Experience
June 20, 2007 - June 23, 2024
THE ETHICAL ADVISOR, LLC
November 18, 2002 - March 31, 2005
KERSHNER TRADING GROUP, LLC
October 11, 2002 - November 7, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2002 - November 7, 2002
IDS LIFE INSURANCE COMPANY
September 19, 2002 - November 7, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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 55
Date: 11/26/2002
Limited Representative-Equity Trader ExamCurrent Firm
THE ETHICAL ADVISOR, LLC
CRD#: 143898 / SEC#:
Contact information
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.
