Andrew E. 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.
Andrew Eldon Peterson was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2003. Andrew had worked at 5 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
March 25, 2020 - December 31, 2024
MSP WEALTH MANAGEMENT, LLC
October 25, 2019 - April 1, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - April 1, 2020
AVANTAX INVESTMENT SERVICES, INC.
August 25, 2003 - October 25, 2019
1ST GLOBAL ADVISORS INC
June 25, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
Primary Firm SEC Registration
MSP WEALTH MANAGEMENT, LLC
CRD#: 306522 / SEC#: 801-117846
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
MSP WEALTH MANAGEMENT, LLC
CRD#: 306522 / SEC#: 801-117846
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 795 |
| AUM (Assets Under Management) | $ 193,009,400 |
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.
