Erin K. Peterson
Professional summary
Erin Kuuipo Peterson, who also goes by Erin Kuupio Herman, Erin K Middleton, Erin K Peterson, Erin Kuuipo Peterson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California.
Erin is registered as a RR (Registered Representative) and started their career in finance in 2003. Erin has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erin Kuuipo Peterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111August 28, 2003 - November 23, 2020
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/10/2020)
(1/7/2022)
(11/29/2023)
(6/15/2021)
(1/7/2022)
(1/7/2022)
(12/4/2024)
(1/7/2022)
(1/7/2022)
(1/7/2022)
(12/4/2024)
(6/15/2021)
(9/7/2024)
(9/7/2024)
Exams
Series 7TO
Date: 1/5/2021
General Securities Representative ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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