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Detailed Report
Stacey M Peterson
CRD#: 6586668
IA
Investment Adviser
B
Broker
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 890 HAMPSHIRE RD
STE W
WESTLAKE VILLAGE, CA 91361
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (9 years)
License(s)

State Registrations

B
California 2/11/2016
B
New York 1/10/2022
IA
California 2/29/2016
B
Oklahoma 12/6/2017
B
Georgia 1/3/2020
B
Tennessee 11/21/2024
B
Kentucky 1/4/2021
B
Texas 12/6/2017
B
Massachusetts 1/4/2021
B
Vermont 11/21/2024
B
New Jersey 1/3/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
890 HAMPSHIRE RD STE W, WESTLAKE VILLAGE, CA 91361
HERMOSA BEACH, CA
Registered with this firm since 2/29/2016
B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
890 HAMPSHIRE RD STE W, WESTLAKE VILLAGE, CA 91361
HERMOSA BEACH, CA
Registered with this firm since 1/22/2016
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.