Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Peterson is a financial advisor registered with Northern Trust Securities, Inc. He is active in the state of Florida and provides investment advisory services. Richard's expertise includes portfolio management for individuals, businesses, and pooled investment vehicles. He has been in the financial services industry since 1987 and is dedicated to helping clients achieve their financial goals.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
FL
02/19/2015 - Present
Northern Trust Securities, Inc. (BOCA RATON FL)
FL
02/14/2008 - 03/13/2012
NORTHERN TRUST SECURITIES, INC. (MIAMI FL)
DC
12/02/2004 - 02/14/2008
PNC INVESTMENTS (WASHINGTON DC)
AL
01/30/2003 - 09/07/2004
COLONIAL BROKERAGE, INC. (MONTGOMERY AL)
AL
02/13/1996 - 09/11/2002
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
CA
03/15/1994 - 02/26/1996
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MI
01/03/1992 - 03/16/1994
INDEPENDENCE ONE BROKERAGE SERVICES, INC. (FARMINGTON HILLS MI)
NY
08/01/1991 - 01/03/1992
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
01/04/1989 - 08/01/1991
PAMCO SECURITIES AND INSURANCE SERVICES
NA
03/25/1987 - 01/10/1989
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
BOTH
Issued 02/12/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/2004
Series 4 - Registered Options Principal Examination
BC
Issued 04/12/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/18/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/18/1990
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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