James Peterson, financial advisor Colorado Springs CO
93 score

James Peterson

CRD Number: 1145057
Current Firm: Morgan Stanley

James Peterson (CRD# 1145057) is an Investment Advisor Representative working at Morgan Stanley in Colorado Springs, CO and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 3
Morgan Stanley Smith Barney Colorado Sp, CO Jun 2010 - Current 7
Wachovia Securities LLC Colorado Springs, CO Jan 2005 - Jun 2010 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1983
S65 NASAA Investment Advisors Law Examination Jun 2003
Contact Info for James E. Peterson
Phone Number: 914-225-5510
Registered State(s):
  • CO
  • MD
By the Numbers
  • Total Assets Under Management
    598,503
    MILLIONS
  • Total Number of Accounts
    1,610,240
    ACCOUNTS
  • Average Account Value
    $371,685
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • 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
  • 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, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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