Kelly C. 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.
Kelly Cutler Peterson was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2003. Kelly had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2011 - January 28, 2013
TD AMERITRADE, INC.
September 27, 2011 - January 28, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 26, 2011 - January 28, 2013
TD AMERITRADE, INC.
September 25, 2008 - September 26, 2011
HARRISDIRECT LLC
December 20, 2006 - September 26, 2011
E*TRADE SECURITIES LLC
November 4, 2004 - January 16, 2007
ALLEGIS ADVISORS, INC.
December 11, 2003 - January 11, 2007
EQUITY SERVICES, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
