Nicholas D. Peterson
Professional summary
Nicholas Dylan Peterson, who also goes by Nicholas D Peterson, Nicholas Peterson, Nick Peterson, Nicholas Schroeder, Nicholas D Schroeder, is a registered financial professional currently at SOFI SECURITIES LLC located in San Francisco, California.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Dylan Peterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2022 - Present
SOFI SECURITIES LLC
Office #1: 234 1st Street, San Francisco, CA 94105January 13, 2020 - May 16, 2020
TD AMERITRADE, INC.
July 18, 2018 - July 24, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
(4/6/2022)
(4/6/2022)
Exams
Series 7TO
Date: 4/12/2019
General Securities Representative ExaminationFINRA
Current Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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