GP
Georgette C. Peterson
SAGE, RUTTY & CO.
Rochester, NY 14623
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CRD#: 4876852
GP
Professional summary
Georgette Carla Peterson is a registered financial professional currently at SAGE, RUTTY & CO., INC. located in Rochester, New York.
Georgette is registered as a RR (Registered Representative) and started their career in finance in 2005. Georgette has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Georgette Carla 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®
NoneExperience
Current
September 9, 2024 - Present
SAGE, RUTTY & CO., INC.
Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623RIA
BD
CRD#: 3254
Rochester, NY
Past
October 31, 2019 - August 26, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Fairport, NY
Past
April 12, 2017 - November 5, 2019
OSAIC FA, INC.
BD
CRD#: 3978
ROCHESTER, NY
Past
July 3, 2012 - April 11, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ROCHESTER, NY
Past
September 20, 2011 - October 26, 2011
ESL INVESTMENT SERVICES, LLC
BD
CRD#: 139176
WEBSTER, NY
Past
September 9, 2011 - October 26, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
WEBSTER, NY
Past
January 24, 2005 - March 4, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
FAIRPORT, NY
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".
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
New York(9/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Phone number
(585) 232-3760
Established
New York since 02/11/1937
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory assets under management
| Total Number of Accounts | 7,702 |
| AUM (Assets Under Management) | $ 3,018,502,621 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 01/27/2025 | ||
| 01/02/2024 |
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.
Company Information
SAGE, RUTTY & CO., INC.
CRD#: 3254Rochester, NY 14623TRUST BUT VERIFY
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