Byron D. Petersen
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.
Byron Douglas Petersen JR, who also goes by B Douglas Petersen Jr, was a registered financial professional .
Byron is a previously registered financial professional and started their career in finance in 1980. Byron had worked at 8 firms and has passed the Series 63, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1990 - October 26, 1990
SHAMROCK PARTNERS, LTD
November 28, 1989 - February 24, 1990
AESIR SECURITIES, INC.
July 15, 1986 - July 27, 1987
SHERIDAN SECURITIES INC
December 6, 1984 - November 8, 1989
CAPITAL SECURITIES GROUP, INC.
September 28, 1983 - May 15, 1984
CONSOLIDATED INVESTMENT SERVICES, INC.
November 19, 1981 - March 26, 1982
AMERICAN FRONTEER FINANCIAL CORPORATION
April 3, 1981 - October 21, 1981
MORGAN STANLEY DW INC.
July 28, 1980 - June 17, 1981
E. F. HUTTON & COMPANY 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
SHAMROCK PARTNERS, LTD
CRD#: 23955 / SEC#: , 8-40676
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
| Bond | 1 |
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.
