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Stephen Carl Peterson
Stephen C Peterson, Steve Carl Peterson
CRD#: 5858087
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 11714 NE 62nd Ter
Ste 100
The Villages, FL 32162
Ste 100
The Villages, FL 32162
0
Disclosures
13
Years of Experience
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State Registrations
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Alabama 4/6/2022
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Mississippi 4/6/2022
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Alaska 4/6/2022
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Missouri 4/6/2022
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Arizona 4/6/2022
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New Hampshire 4/6/2022
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Arkansas 4/6/2022
B
New Jersey 4/6/2022
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California 4/6/2022
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New Mexico 4/6/2022
B
Colorado 4/6/2022
B
New York 4/6/2022
B
Connecticut 4/6/2022
B
North Carolina 4/6/2022
B
Delaware 4/6/2022
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North Dakota 4/6/2022
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District of Columbia 4/6/2022
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Ohio 4/7/2022
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Florida 9/15/2021
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Oklahoma 4/6/2022
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Florida 1/21/2022
B
Oregon 4/6/2022
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Georgia 4/6/2022
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Pennsylvania 4/6/2022
B
Hawaii 8/10/2022
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Rhode Island 4/6/2022
B
Idaho 4/6/2022
B
South Carolina 4/6/2022
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Illinois 4/6/2022
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Tennessee 4/6/2022
B
Indiana 4/6/2022
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Texas 4/6/2022
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Iowa 4/6/2022
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Texas 4/6/2022
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Kansas 4/6/2022
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Utah 4/6/2022
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Kentucky 4/6/2022
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Vermont 4/6/2022
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Maine 4/6/2022
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Virginia 4/6/2022
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Maryland 4/6/2022
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Washington 4/6/2022
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Massachusetts 4/6/2022
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West Virginia 4/6/2022
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Michigan 4/6/2022
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Wisconsin 4/6/2022
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Minnesota 4/6/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/21/2022
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Registered with this firm since 9/15/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/25/2019 - 07/09/2021 | CHICAGO, IL | |
B | 01/31/2019 - 03/06/2019 | PORTLAND, ME | |
IA | 04/04/2016 - 10/25/2018 | MANDEVILLE, LA | |
B | 04/04/2016 - 10/25/2018 | WHEATON, IL | |
IA | 01/03/2011 - 04/08/2016 | MANDEVILLE, LA | |
B | 11/03/2010 - 04/08/2016 | OAKBROOK TERRACE, IL |
For additional information about investment advisers or broker-dealers, please visit
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.