Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames K. Peterson is a financial advisor registered with Fidelity Personal And Workplace Advisors. James has over 20 years of experience in the financial services industry. James holds Series 7, 9, 10, 31 and 66 licenses and is also a Certified Financial Planner. James is registered to provide investment advice in Hawaii, Massachusetts, Texas, Utah and Washington. James also has an active investment advisor registration in Texas and Utah. James previously worked with Chase Investment Services Corp., BANC ONE SECURITIES CORPORATION and MORGAN STANLEY DW INC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
UT
07/06/2005 - 03/04/2008
CHASE INVESTMENT SERVICES CORP. (SALT LAKE CITY UT)
IL
03/16/2005 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
04/05/2004 - 03/18/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 04/16/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/23/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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