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RANDALL TODD PETERSEN
RANDY PETERSON
CRD#: 1364817
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 681 EAST LAKE STREET
SUITE 354
WAYZATA, MN 55391
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - Present (12 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - Present (18 years)BPIPER JAFFRAY & CO. (CRD# 665)1989 - 2006 (16 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1987 - 1989 (2 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1986 - 1987 (1 year)IAPIPER JAFFRAY & CO. (CRD# 665)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Alaska 5/29/2024

B
Minnesota 8/12/2006

B
Arizona 8/12/2006

IA
Minnesota 12/9/2013

B
California 8/12/2006

B
Nebraska 10/4/2023

B
Colorado 10/1/2018

B
Nevada 1/24/2024

B
District of Columbia 6/17/2022

B
New Hampshire 2/5/2024

B
Florida 7/26/2018

B
New Jersey 11/8/2022

B
Georgia 7/15/2022

B
New Mexico 2/24/2021

B
Idaho 11/5/2024

B
North Carolina 6/20/2018

B
Illinois 12/5/2018

B
Pennsylvania 10/11/2017

B
Indiana 5/20/2024

B
South Carolina 4/22/2021

B
Iowa 1/4/2011

B
Tennessee 6/16/2022

B
Kansas 11/8/2022

B
Texas 8/28/2012

B
Louisiana 11/8/2022

IA
Texas 9/7/2012

B
Maryland 2/3/2022

B
Virginia 11/8/2022

B
Massachusetts 2/24/2021

B
Washington 12/6/2018

B
Michigan 11/12/2008

B
Wisconsin 9/11/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
PLymouth, MN
Registered with this firm since 9/7/2012

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
PLymouth, MN
Registered with this firm since 8/12/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/01/1989 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) WAYZATA, MN
IA
01/26/2004 - 12/31/2004 PIPER JAFFRAY & CO. (CRD#:665) WAYZATA, MN
B
01/05/1987 - 11/10/1989 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
03/31/1986 - 03/03/1987 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
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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.