Benjamin M. Peterson

INTERCAROLINA FINANCIAL SERVICES

GREENSBORO, NC 27410

CRD#: 8254320

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Professional summary

Benjamin Michael Lee Peterson is a registered financial professional currently at INTERCAROLINA FINANCIAL SERVICES, INC. located in Greensboro, North Carolina.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2026. Benjamin has worked at 1 firm and has passed the Series 7TO and SIE exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Michael Lee 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

April 29, 2026 - Present

INTERCAROLINA FINANCIAL SERVICES, INC.

Office #1: 3300 Battleground Avenue Suite 202, Greensboro, NC 27410

RIA

CRD#: 19475

GREENSBORO, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTERCAROLINA FINANCIAL SERVICES, INC.

INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES

CRD#: 19475 / SEC#: 801-121339, 8-37519

RIA

Registered Investment Advisory firm - SEC (5/28/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/11/2021 Terminated)

Nevada

Registered Investment Advisory firm - SEC (8/13/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/25/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (12/15/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/19/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7TO

Date: 4/28/2026

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/4/2025

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

INTERCAROLINA FINANCIAL SERVICES, INC.

INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES

CRD#: 19475 / SEC#: 801-121339, 8-37519

RIA

Registered Investment Advisory firm - SEC (5/28/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/11/2021 Terminated)

Nevada

Registered Investment Advisory firm - SEC (8/13/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/25/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (12/15/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/19/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/13/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

3300 Battleground Avenue Suite 202 Suite 202, Greensboro, NC 27410

Mailing Address

3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447

Phone number

(336) 288-6890

Established

North Carolina since 09/17/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/25/2025)

ADV PART2B (3/14/2025)

Direct owners and executive officers

Name	Position	CRD#
NAVOLANIC, JOSEPH EUGENE	PRESIDENT/FIN OP	727399
KINDLEY, MARCUS DALE	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	734449

Regulatory assets under management

Total Number of Accounts	381
AUM (Assets Under Management)	$ 130,750,464

Disclosures

Regulatory Event	2
Arbitration	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.

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Benjamin M. Peterson

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Michael Lee Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERCAROLINA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INTERCAROLINA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 7TO

Date: 4/28/2026

SIE

Date: 11/4/2025

FINRA

Current Firm

INTERCAROLINA FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INTERCAROLINA FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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