Vaughn PetersonCRD 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.
Sagepoint Financial, Inc.
Halsey Associates Inc.
Kanner Financial Services LLC
|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|
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
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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