SP
Shaun G. Peterson
FORTRESS CAPITAL FORMATION LLC
New York, NY 10105
Some features on this profile are disabled
CRD#: 7657471
SP
Professional summary
Shaun Gordon Peterson, who also goes by Shaun Gordon Peterson, is a registered financial professional currently at FORTRESS CAPITAL FORMATION LLC located in New York, New York.
Shaun is registered as a RR (Registered Representative) and started their career in finance in 2023. Shaun has worked at 3 firms and has passed the Series 63, Series 3, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shaun Gordon 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Shaun Gordon Peterson's 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®
NoneExperience
Current
September 17, 2025 - Present
FORTRESS CAPITAL FORMATION LLC
Office #1: 1345 Avenue Of The Americas 45th Floor, New York, NY 10105BD
CRD#: 152385
New York, NY
Past
May 1, 2024 - September 2, 2025
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
New York, NY
Past
January 9, 2023 - May 1, 2024
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
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
Alabama(9/17/2025)
RR
Alaska(9/17/2025)
RR
Arizona(9/17/2025)
RR
Arkansas(9/17/2025)
RR
California(9/17/2025)
RR
Colorado(9/17/2025)
RR
Connecticut(9/17/2025)
RR
Delaware(9/17/2025)
RR
District of Columbia(9/17/2025)
RR
Florida(9/17/2025)
RR
Georgia(9/17/2025)
RR
Hawaii(9/17/2025)
RR
Idaho(9/17/2025)
RR
Illinois(9/17/2025)
RR
Indiana(9/17/2025)
RR
Iowa(9/17/2025)
RR
Kansas(9/17/2025)
RR
Kentucky(9/17/2025)
RR
Louisiana(9/17/2025)
RR
Maine(9/17/2025)
RR
Maryland(9/17/2025)
RR
Massachusetts(9/17/2025)
RR
Michigan(9/17/2025)
RR
Minnesota(9/17/2025)
RR
Mississippi(9/17/2025)
RR
Missouri(9/17/2025)
RR
Montana(9/17/2025)
RR
Nebraska(9/17/2025)
RR
Nevada(9/17/2025)
RR
New Hampshire(9/17/2025)
RR
New Jersey(9/17/2025)
RR
New Mexico(9/17/2025)
RR
New York(9/17/2025)
RR
North Carolina(9/17/2025)
RR
North Dakota(9/17/2025)
RR
Ohio(9/17/2025)
RR
Oklahoma(9/17/2025)
RR
Oregon(9/17/2025)
RR
Pennsylvania(9/17/2025)
RR
Puerto Rico(9/17/2025)
RR
Rhode Island(9/17/2025)
RR
South Carolina(9/17/2025)
RR
South Dakota(9/17/2025)
RR
Tennessee(9/17/2025)
RR
Texas(9/17/2025)
RR
Utah(9/17/2025)
RR
Vermont(9/17/2025)
RR
Virgin Islands(9/17/2025)
RR
Virginia(9/17/2025)
RR
Washington(9/17/2025)
RR
West Virginia(9/17/2025)
RR
Wisconsin(9/17/2025)
RR
Wyoming(9/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FORTRESS CAPITAL FORMATION LLC
FORTRESS CAPITAL FORMATION LLC | FORTRESS INVESTMENT GROUP LLC
CRD#: 152385 / SEC#: , 8-68449
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 45th Floor, New York, NY, 10105
Mailing Address
1345 Avenue Of The Americas 45th Floor, New York, NY, 10105
Phone number
(212) 798-6100
Established
Delaware since 06/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
