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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Peterson has been in the financial services industry since June 1984. He is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is also licensed to provide investment advisory services in Georgia and Texas. Douglas has a long history of working in the financial industry, with prior experience at BANC of America Investment Services, INC., NATIONSSECURITIES and DEAN WITTER REYNOLDS INC. Douglas is a Series 7 and Series 63 licensed professional and has passed the SIE and Series 65 exams. He is also registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to provide investment advisory services in multiple states. Douglas offers a range of financial services to individuals, businesses, and institutions, including investment management, financial planning, and retirement planning.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
GA
06/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ATLANTA GA)
GA
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (KENNESAW GA)
NA
07/12/1993 - 01/01/1998
NATIONSSECURITIES
NY
06/20/1984 - 07/12/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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