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Alfonse Peterson

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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

Alfonse Peterson is a financial professional at LPL Financial LLC, a broker-dealer with over 17,400 registered representatives nationwide. Alfonse is also registered with Strategic Wealth Advisors Group, a $612M RIA based in Central San Mateo, CA. Alfonse has held an industry securities registration for 28 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
LPL Financial LLC 5 years, 1 month Sep 2009 - Present
Strategic Wealth Advisors Group 5 years, 6 months Apr 2009 - Present
SagePoint Financial, Inc. 5 years, 9 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
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 05/18/1999
Uniform Securities Agent State Law ExaminationSeries 63 11/26/1993
General Securities Representative ExaminationSeries 7 05/17/1986

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.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/06/2014
09/19/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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