Reginald A. 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.
Reginald Arness Peterson, who also goes by R. A. Peterson, Reggie Arness Peterson, was a registered financial professional .
Reginald is a previously registered financial professional and started their career in finance in 2009. Reginald had worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2013 - August 14, 2017
A&G FINANCIAL MANAGEMENT, LLC
February 21, 2012 - May 13, 2013
CAPITAL MANAGEMENT ASSOCIATES,INC.
March 9, 2010 - May 24, 2010
BUCKMAN ADVISORY GROUP LLC
February 22, 2010 - May 18, 2010
BUCKMAN, BUCKMAN & REID, INC.
November 10, 2009 - February 1, 2010
BROOKSTONE SECURITIES, INC.
August 13, 2009 - November 12, 2009
MERCER CAPITAL LTD.
August 6, 2009 - August 13, 2009
ANDREW GARRETT INC.
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
A&G FINANCIAL MANAGEMENT, LLC
CRD#: 154561 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 147 |
| AUM (Assets Under Management) | $ 37,914,000 |
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.
