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Alfonse Peterson

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Additional Firm:
Type: SEC and FINRA Registered

Alfonse Peterson is a financial professional at LPL Financial LLC, a broker-dealer with over 18,100 registered representatives nationwide. Alfonse is also registered with Strategic Wealth Advisors Group, an $863M RIA based in Central San Mateo, CA. Alfonse has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
LPL Financial LLC 6 years, 2 months Sep 2009 - Present
Strategic Wealth Advisors Group 6 years, 8 months Apr 2009 - Present
SagePoint Financial, Inc. 8 months Jan 2009 - Sep 2009
Aig Financial Advisors, Inc. 3 years, 3 months Oct 2005 - Jan 2009
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

Alfonse Peterson has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

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.

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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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