Vaughn Peterson, financial advisor North Haven CT
83 score

Vaughn Peterson

CRD Number: 3059476
Current Firm: Ameriprise Financial Services, Inc.

Vaughn Peterson (CRD# 3059476) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in North Haven, CT and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Ameriprise Financial Services, Inc. North Haven, CT Jun 2012 - Current 4
Lpl Financial Charlotte, NC May 2011 - Jun 2012 1
First Niagara Securities Old Saybrook, CT Apr 2011 - Jun 2012 1
Newalliance Investments New Haven, CT Aug 2004 - May 2011 6
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Apr 2005
S66 NASAA Uniform Combined State Law Examination Jul 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Vaughn F. Peterson
Phone Number: 612-671-3131
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    178,060
    MILLIONS
  • Total Number of Accounts
    1,085,445
    ACCOUNTS
  • Average Account Value
    $164,044
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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