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Dena Lee Petersen

Charles Schwab & CO., Inc.

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About Dena Lee Petersen

Dena Lee Petersen is a financial advisor registered in Florida with Charles Schwab & Co., Inc. Dena has been in the financial industry since 2011 and has a broad range of experience in securities and investment advisory services. Dena has a strong understanding of the financial markets and provides financial planning and investment advisory services to individual clients. Dena was previously registered with CETERA INVESTMENT SERVICES LLC and LPL FINANCIAL LLC.

Firm Information

Dena Petersen is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Dena Petersen’s Registration & Firm History

FL

08/10/2021 - Present

Charles Schwab & CO., Inc. (Tampa FL)

IA

09/03/2013 - 12/05/2014

CETERA INVESTMENT SERVICES LLC (DUBUQUE IA)

IL

01/18/2012 - 09/05/2013

LPL FINANCIAL LLC (GALENA IL)

IA

02/17/2005 - 06/15/2011

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (DUBUQUE IA)

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Licenses & Designations

BOTH

Issued 05/12/2021

Series 66 - Uniform Combined State Law Examination

IA

Issued 03/11/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/14/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/23/2020

Series 7TO - General Securities Representative Examination

BC

Issued 09/15/2019

SIE - Securities Industry Essentials Examination

BC

Issued 02/05/2010

Series 7 - General Securities Representative Examination

BC

Issued 02/15/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Dena Lee Petersen.
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