Brian Peterson

PLUTO WEALTH MANAGEMENT

WOODRIDGE, IL 60517

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CRD#: 4744865

Professional summary

Brian Peterson is a registered financial advisor currently at PLUTO WEALTH MANAGEMENT located in Woodridge, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Peterson has a consulting business for corporations reviewing and establishing Treasury functions, overall department structure, etc. He is engaged on a project basis by corporations for this service. When engaged, he spends approximately 15% of his time on this activity. All other employment for Mr. Peterson has been reported in Item 12 on this Form U4.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Peterson's 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

Experience

Current

January 31, 2020 - Present

PLUTO WEALTH MANAGEMENT

Office #1: One Heritage Plaza 7501 Lemont Road, Suite 20b, Woodridge, IL 60517

RIA

CRD#: 307295

WOODRIDGE, IL

Past

January 26, 2004 - September 10, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 26, 2004 - September 10, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/31/2020)

IAR

Illinois
(3/18/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/24/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PLUTO WEALTH MANAGEMENT

PLUTO WEALTH MANAGEMENT | PLUTO WEALTH MANAGEMENT LLC

CRD#: 307295 / SEC#:

Arizona

Registered Investment Advisory firm - (1/31/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/18/2021 Approved)

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Contact information

Main Address

One Heritage Plaza 7501 Lemont Road, Suite 20b, Woodridge, IL 60517

Mailing Address

Phone number

(312) 488-9548

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 1,040,436

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PLUTO WEALTH MANAGEMENT

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2019

Series 63

Date: 2/12/2004

Series 6

Date: 1/24/2004

Current Firm

PLUTO WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PLUTO WEALTH MANAGEMENT

TRUST BUT VERIFY

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