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Michael William Peterson

National Financial Services LLC

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About Michael William Peterson

Michael William Peterson is a financial professional with over 26 years of experience in the financial services industry. Michael is currently registered with National Financial Services LLC in Westlake, Texas and holds Series 6, 7, 9, 10, 63 and 66 securities licenses. Previously, Michael was registered with Fidelity Brokerage Services LLC in Scottsdale, Arizona and Westlake, Texas.

Firm Information

Michael Peterson is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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.

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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Michael Peterson’s Registration & Firm History

TX

06/28/2012 - Present

National Financial Services LLC (WESTLAKE TX)

TX

07/13/2011 - 06/12/2012

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

AZ

11/29/1995 - 05/13/2011

FIDELITY BROKERAGE SERVICES LLC (SCOTTSDALE AZ)

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Licenses & Designations

BC

Issued 03/24/2022

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 01/20/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/01/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/21/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/27/1997

Series 7 - General Securities Representative Examination

BC

Issued 11/28/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Michael William Peterson.
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