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Raymond Peterson

Pershing LLC

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About Raymond Peterson

Raymond Peterson is a financial professional with over 20 years of experience in the industry. Raymond is currently registered with Pershing LLC and holds Series 7, 52, 63, 99 and SIE licenses. Raymond has previously been registered with American Express Financial Advisors Inc. and IDS Life Insurance Company. Raymond is registered in New Jersey and New York.

Firm Information

Raymond Peterson is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Raymond Peterson’s Registration & Firm History

NJ

03/21/2001 - Present

Pershing LLC (JERSEY CITY NJ)

MN

05/14/1998 - 06/09/1999

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

05/14/1998 - 06/09/1999

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 03/17/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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

Disclosures

There is public disclosure for Raymond Peterson. Review regulatory record here.
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