Individual Firm
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DWIGHT DOUGLAS PETERSON
DWIGHT D PETERSON, DWIGHT PETERSON
CRD#: 5729281
IA
B
ADVANTAGE WEALTH ADVISORSCRD#: 280028 3189 DANVILLE BLVD. SUITE 280
ALAMO, CA 94507
ALAMO, CA 94507
LPL FINANCIAL LLCCRD#: 6413 3189 DANVILLE BLVD SUITE 280
ALAMO, CA 94507
ALAMO, CA 94507
View By:
8/20/2013
Customer Dispute
Closed-No Action
State Registrations
B
California 10/13/2015
B
Nevada 10/15/2021
IA
California 11/28/2017
B
Oregon 11/12/2018
B
Hawaii 2/5/2016
B
South Carolina 7/12/2019
B
Montana 1/30/2018
B
Washington 11/13/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/28/2017
B
Registered with this firm since 10/13/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/14/2015 - 02/08/2018 | DANVILLE, CA | |
IA | 01/22/2010 - 09/17/2015 | WALNUT CREEK, CA | |
B | 12/10/2009 - 09/17/2015 | WALNUT CREEK, CA |
WALNUT CREEK, CA
01/22/2010 - 09/17/2015
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.