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William Louis Peterson

LPl Financial LLC

Ontario, OR

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2025-02-06
  • OR RA
    APPROVED
    Since 2025-02-06

Branch Locations

Ontario, OR • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities America Advisors Ontario OR 07/2007 06/2024
Securities America, Inc. Ontario OR 07/2007 06/2024
Osaic Wealth, Inc. Ontario OR 06/2024 09/2024
Lpl Financial Llc Ontario OR 09/2024 Present
  • 07/2007 → 06/2024
    Securities America Advisors
    Ontario, OR
  • 07/2007 → 06/2024
    Securities America, Inc.
    Ontario, OR
  • 06/2024 → 09/2024
    Osaic Wealth, Inc.
    Ontario, OR
  • 09/2024 → Present
    Lpl Financial Llc
    Ontario, OR
Previous Registrations
  • 2024-06-14 → 2024-10-01
    Osaic Wealth, Inc.
    Ontario, OR
  • 2007-07-06 → 2024-06-14
    Securities America Advisors, Inc.
    Boise, ID
    Ontario, OR
  • 2000-01-14 → 2007-07-12
    Brookstreet Securities Corporation
    Boise, ID
    Boise, ID
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-26
S63 Uniform Securities Agent State Law Examination 1988-08-06
  • S65 Uniform Investment Adviser Law Examination
    1998-05-26
  • S63 Uniform Securities Agent State Law Examination
    1988-08-06
Other Names
  • Bill Peterson

View on SEC IAPD

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