Brian L. Peterson
Professional summary
Brian Lee Peterson, who also goes by Brian L Peterson, Brian L. Peterson, Brian Ll Peterson, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2005. Brian has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Lee Peterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2024 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416February 8, 2024 - March 6, 2024
CUNA BROKERAGE SERVICES, INC.
April 5, 2022 - January 25, 2024
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 10, 2021 - December 21, 2021
SYMETRA SECURITIES, INC.
August 30, 2018 - February 26, 2021
RAYMOND JAMES & ASSOCIATES, INC.
August 30, 2018 - February 26, 2021
RAYMOND JAMES & ASSOCIATES, INC.
February 4, 2018 - August 1, 2018
STADION MONEY MANAGEMENT, LLC
October 26, 2017 - August 3, 2018
ALPS DISTRIBUTORS, INC.
June 7, 2017 - October 13, 2017
MOODY SECURITIES, LLC
May 2, 2007 - January 26, 2017
PRINCIPAL FUNDS DISTRIBUTOR, INC.
December 4, 2006 - May 15, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
December 1, 2006 - May 15, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
January 30, 2006 - October 23, 2006
EQUITABLE ADVISORS, LLC
February 8, 2005 - October 23, 2006
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/13/2024)
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(3/13/2024)
(3/13/2024)
(3/13/2024)
(3/13/2024)
Exams
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
