Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pauline? Claim Your ProfilePauline Luce Peterson is a registered representative of Essex Financial Services, Inc. Pauline has been in the securities industry since June 23, 2000. Pauline has been associated with Essex Financial Services, Inc. since January 17, 2019, and has previously been registered with several other firms. Pauline has Series 6, 7, 9, 10, 63 and 66 securities registrations, as well as Series 99TO and SIE.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CT
01/17/2019 - Present
Essex Financial Services, Inc. (ESSEX CT)
CT
01/18/2019 - 06/01/2021
ESSEX FINANCIAL SERVICES, INC. (ESSEX CT)
CT
04/05/2001 - 07/12/2017
FIDELITY BROKERAGE SERVICES LLC (NEW HAVEN CT)
MA
03/01/1996 - 12/08/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
SC
08/24/1995 - 03/15/1996
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NA
02/20/1996 - 03/01/1996
G. R. PHELPS & CO., INC.
BOTH
Issued 11/24/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/29/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/26/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/12/2017
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2001
Series 7 - General Securities Representative Examination
BC
Issued 08/23/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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