Andrew Christopher Petersen
Professional Summary
Andrew Christopher Petersen, who also goes by Andy Christopher Petersen, is a registered financial advisor currently at CNL SECURITIES CORP. located in Orlando, Florida. Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Andy Christopher Petersen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Current Firm
CENTENNIAL INVESTMENT COMPANY | CNL SECURITIES CORP. | CNL INVESTMENT COMPANY | CNL
Contact Information
Main Address
450 South Orange Avenue Suite 1400, Orlando, FL 32801Mailing Address
P.o Box 4920, Orlando, FL 32802-4920Phone Number
(407) 650-1000Established
Florida since 11/13/1979Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | — |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/13/2017)
(7/27/2011)
(3/15/2013)
(1/22/2013)
(1/18/2013)
(1/18/2013)
(11/14/2017)
(11/16/2017)
(11/13/2017)
(7/20/2011)
(1/3/2018)
(2/19/2013)
(1/27/2012)
(1/17/2013)
(11/21/2017)
(1/17/2013)
(1/28/2013)
(11/14/2017)
(8/22/2014)
(11/14/2017)
(11/14/2017)
(12/14/2017)
(2/28/2013)
(1/18/2013)
(1/18/2013)
(3/19/2013)
(7/20/2011)
(4/3/2013)
(1/23/2013)
(12/5/2017)
(11/14/2017)
(1/17/2013)
(11/15/2017)
(11/15/2017)
(1/28/2013)
(11/13/2017)
(8/11/2014)
(7/26/2011)
(11/14/2017)
(11/15/2017)
(11/15/2017)
(1/17/2013)
(11/14/2017)
(8/21/2014)
(1/24/2013)
(11/15/2017)
(11/20/2017)
(11/14/2017)
(7/20/2011)
(11/29/2017)
(2/4/2013)
(1/17/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2004About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Andrew Christopher Petersen's CRS (Customer Relationship Summary).
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