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DOUGLAS JOHN PETERSON
CRD#: 1272062
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 300 GALLERIA PKWY SE
ATLANTA, GA 30339
Registration History
1985199019952000200520102015202020252 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - Present (15 years)BNATIONSSECURITIES (CRD# 32542)1993 - 1998 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1984 - 1993 (9 years)
License(s)

State Registrations

B
Alabama 10/23/2009

B
Mississippi 10/23/2009

B
Arizona 10/23/2009

B
Missouri 10/23/2009

B
California 10/23/2009

B
Montana 2/10/2020

B
Colorado 10/23/2009

B
New Jersey 10/23/2009

B
Connecticut 10/23/2009

B
New York 10/23/2009

B
District of Columbia 7/6/2018

B
North Carolina 10/23/2009

B
Florida 10/23/2009

B
Ohio 12/19/2018

B
Georgia 10/23/2009

B
Oklahoma 9/16/2022

IA
Georgia 10/23/2009

B
Oregon 10/23/2009

B
Illinois 6/21/2018

B
Pennsylvania 7/31/2018

B
Iowa 1/21/2021

B
South Carolina 10/23/2009

B
Kentucky 7/16/2012

B
Tennessee 10/23/2009

B
Louisiana 8/22/2018

B
Texas 10/23/2009

B
Maine 4/8/2022

IA
Texas 6/5/2012

B
Maryland 10/11/2017

B
Utah 7/6/2018

B
Massachusetts 10/23/2009

B
Virginia 10/23/2009

B
Michigan 6/21/2018

B
Washington 10/23/2009

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
300 GALLERIA PKWY SE, ATLANTA, GA 30339
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
300 GALLERIA PKWY SE, ATLANTA, GA 30339
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) KENNESAW, GA
B
01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) KENNESAW, GA
B
07/12/1993 - 01/01/1998 NATIONSSECURITIES (CRD#:32542)
B
06/20/1984 - 07/12/1993 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.