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RP

Rio A. Peterson

BLUE OWL SECURITIES
Short Hills, NJ 07078
Some features on this profile are disabled
CRD#: 6685155
RP

Professional summary

Rio A. Peterson, who also goes by Rio A Peterson, Rio Alexis Peterson, Rio Peterson, is a registered financial professional currently at BLUE OWL SECURITIES located in Short Hills, New Jersey.

Rio is registered as a RR (Registered Representative) and started their career in finance in 2018. Rio has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rio A Peterson | Rio Alexis Peterson | Rio Peterson

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.
Member of Compliance team of Blue Owl Capital Holdings LP. This activity, which began in May 2025, is investment related and occupies a majority of the employee's time.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rio A. Peterson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 28, 2025 - Present

BLUE OWL SECURITIES

Office #1: 51 John F. Kennedy Parkway, Short Hills, NJ 07078
BD
CRD#: 283250
Short Hills, NJ
Past

June 15, 2022 - May 29, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
New York, NY
Past

June 15, 2022 - May 29, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY
Past

November 8, 2018 - May 25, 2022

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

November 5, 2018 - May 25, 2022

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

May 2, 2018 - November 8, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SUMMIT, NJ
Past

February 1, 2018 - November 8, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SUMMIT, NJ

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 Jersey
(5/28/2025)
RR
New York
(5/28/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/30/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 8/30/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/13/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/4/2020
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BO
BLUE OWL SECURITIES
BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
375 Park Avenue, New York, NY 10152
Mailing Address
375 Park Avenue 4th Floor, New York, NY 10152
Phone number
(212) 419-3000
Established
Delaware since 12/17/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BLUE OWL CAPITAL GROUP LLCSOLE MEMBER
AMATO, KERRI ANNCHIEF COMPLIANCE OFFICER4710835
CONNOR, SEAN RICHARDPRESIDENT AND CHIEF EXECUTIVE OFFICER6019182
DIRESTA, ANDREWFINOP7459031

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

BLUE OWL SECURITIES

CRD#: 283250Short Hills, NJ 07078

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