Karlie R. 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.
Karlie Rebecca Peterson was a registered financial professional .
Karlie is a previously registered financial professional and started their career in finance in 2016. Karlie had worked at 2 firms and has passed the Series 65 exam.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - July 31, 2017
TRIUMPH CAPITAL MANAGEMENT
June 6, 2016 - July 31, 2017
SUMMIT FINANCIAL GROUP INC
Primary Firm SEC Registration
TRIUMPH CAPITAL MANAGEMENT
CRD#: 282814 / SEC#: 801-107312
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
TRIUMPH CAPITAL MANAGEMENT
CRD#: 282814 / SEC#: 801-107312
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,605 |
| AUM (Assets Under Management) | $ 529,969,949 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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