Michael Eugene Peterson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2020-09-04

NE RA
APPROVED

Since 2020-09-04

Branch Locations

Lincoln, NE • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Advisors Llc	Denver	CO	04/2016	08/2020
Lpl Financial Llc	Lincoln	NE	08/2020	Present

04/2016 → 08/2020

Cetera Advisors Llc

Denver, CO
08/2020 → Present

Lpl Financial Llc

Lincoln, NE

Previous Registrations

2016-04-19 → 2020-09-01

Cetera Advisors Llc

Lincoln, NE

Omaha, NE
2006-11-30 → 2016-04-15

Smith Hayes Advisers Inc

Lincoln, NE

Lincoln, NE
2001-01-11 → 2006-11-30

Citigroup Global Markets Inc.

Lincoln, NE

Lincoln, NE

Other Businesses

1)08/19/2020 - PETERSON WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 07/2020 - 40 hr/mth

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-07-21

S63 Uniform Securities Agent State Law Examination

1989-07-21

Other Names

Michael E Peterson

View on SEC IAPD