James PetersonCRD Number: 1804629
Current Firm: Raymond James Financial Services Advisors, Inc.
James Peterson (CRD# 1804629) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Saint Cloud, MN and has over 29 years of experience in the finance industry.
Thrivent Investment Management Inc.
Ameriprise Financial Services, Inc.
Northwestern Mutual Investment Services,llc
|Bremer Bank Investments||St. Cloud, MN||Jun 2010 - Current||6|
|Raymond James Financial Services Advisors Inc.||St. Cloud, MN||Aug 2009 - Current||7|
|Raymond James Financial Services||St Cloud, MN||Aug 2009 - Current||7|
|Invest Financial Corporation||St. Cloud, MN||Nov 1995 - Aug 2009||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1988|
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 Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- 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)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV