Ross M. Peterson

VANGUARD ADVISERS | Investment Consultant

CHARLOTTE, NC 28262

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CRD#: 4694229

Professional summary

Ross Mason Peterson, who also goes by Ross M Peterson, Ross M. Peterson, Ross Peterson, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Ross has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Biography

As your Investment Consultant, I will partner with you to understand your short- and long-term goals and to help you build a financial plan that is customized to meet your unique needs. Forming strong relationships with my clients and their families is of the utmost importance to me, and I work hard to maintain a deep level of trust, reliability, and competency.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ross M Peterson | Ross M. Peterson | Ross Peterson

Other business activities

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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS: CHICAGO, IL NATURE OF BUSINESS: REAL ESTATE POSITION: LANDLORD/OWNER START DATE: 10/2022 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Mason Peterson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Education

Miami University

Bachelor - Finance and MIS

2003

Experience

Current

August 14, 2025 - Present

VANGUARD ADVISERS, INC.

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262

RIA

CRD#: 106715

CHARLOTTE, NC

Current

August 14, 2025 - Present

VANGUARD MARKETING CORPORATION

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262

CRD#: 7452

CHARLOTTE, NC

Past

March 31, 2025 - August 6, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CHARLOTTE, NC

Past

June 23, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

JACKSONVILLE, FL

Past

June 17, 2021 - August 6, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CHARLOTTE, NC

Past

March 3, 2020 - April 1, 2021

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

October 2, 2019 - February 10, 2020

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Woodridge, IL

Past

August 8, 2014 - February 10, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Northbrook, IL

Past

November 6, 2013 - July 25, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHICAGO, IL

Past

October 8, 2003 - November 5, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SKOKIE, IL

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".

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(8/14/2025)

IAR

North Carolina
(8/14/2025)

IAR

Texas
(8/14/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/9/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/7/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/13/2016

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

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Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

Phone number

(610) 669-1000

Established

Firm type

Fiscal year end

# of Employees

2,225

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

VANGUARD SITUATIONAL ADVISOR BROCHURE (9/29/2025)

VANGUARD STRATEGIC MODEL PORTFOLIOS (9/29/2025)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/29/2025)

VANGUARD PERSONAL ADVISOR SELECT (9/29/2025)

Regulatory assets under management

Total Number of Accounts	698,843
AUM (Assets Under Management)	$ 300,434,933,763

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

Contact information

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Ross M. Peterson

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Mason Peterson's CRS (Customer Relationship Summary).

Certified licenses

Education

Miami University

Experience

VANGUARD MARKETING CORPORATION

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

P.J. ROBB VARIABLE, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2019

Series 63

Date: 10/29/2003

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2018

Series 6

Date: 10/7/2003

Series 26

Date: 9/13/2016

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

Contact information

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