Andrew 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.
Andrew Christian Peterson, who also goes by Andy Peterson, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2005. Andrew had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2019 - October 7, 2020
EDELMAN FINANCIAL ENGINES
January 24, 2017 - December 5, 2017
SCOTTRADE INVESTMENT MANAGEMENT
April 23, 2015 - December 5, 2017
SCOTTRADE, INC.
April 25, 2006 - April 17, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 17, 2006 - April 17, 2015
TD AMERITRADE, INC.
September 9, 2005 - April 17, 2015
TD AMERITRADE, INC.
January 19, 2005 - August 22, 2005
WADDELL & REED
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
