Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Peterson is a financial advisor registered with J.P. Morgan Securities LLC. Paul has over 24 years of experience in the industry, holding various licenses and registrations. Paul's current registrations include Series 66, Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7, and Series 6. Paul has experience with clients ranging from high-net-worth individuals to large corporations. Paul's expertise lies in the areas of financial planning, pension consulting, and selection of other advisors. Paul has a strong track record of success in the financial services industry.
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.
Guidance on pension options to ensure a secure financial future.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/19/2022 - Present
J.p. Morgan Securities LLC (LOS GATOS CA)
CA
11/17/2016 - 09/24/2019
TD AMERITRADE, INC. (SAN FRANCISCO CA)
NY
11/10/2014 - 03/22/2016
ABG SUNDAL COLLIER INC. (NEW YORK NY)
CA
04/07/2010 - 04/22/2014
MIZUHO SECURITIES USA INC. (SAN FRANCISCO CA)
IL
09/17/2009 - 04/06/2010
WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)
CA
02/29/2008 - 05/08/2009
RBC CAPITAL MARKETS CORPORATION (SAN FRANCISCO CA)
CA
03/24/2005 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (SAN FRANCISCO CA)
CA
03/16/2001 - 03/18/2005
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
TX
09/24/1997 - 03/16/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
08/14/1997 - 09/19/1997
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
RI
03/25/1996 - 05/14/1996
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
BOTH
Issued 11/16/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/13/1997
Series 7 - General Securities Representative Examination
BC
Issued 03/22/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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