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Additional Firm:
Type: Dual Registration

Alfonse Peterson is a financial professional at Strategic Wealth Advisors Group, a $561M RIA based in Central San Mateo, CA. Alfonse is also registered with LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Alfonse has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Alfonse Peterson has not answered any questions on Financial Q&A.

Top Guides

Alfonse Peterson has not contributed any Financial Guides.
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Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
LPL Financial LLC 4 years, 7 months Sep 2009 - Present
Strategic Wealth Advisors Group 5 years Apr 2009 - Present
SagePoint Financial, Inc. 5 years, 3 months Jan 2009 - Present
Aig Financial Advisors, Inc. 3 years, 3 months Oct 2005 - Jan 2009
Omni Concepts, Inc. 13 years, 4 months Sep 1991 - Jan 2005
Sunamerica Securities, Inc. 14 years, 2 months Aug 1991 - Oct 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/17/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 05/18/1999
Uniform Securities Agent State Law Examination Series 63 11/26/1993
General Securities Representative Examination Series 7 05/17/1986

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions