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Richard Spencer Peterson

Mutual Advisors, LLC

San Luis Obispo, CA

Omaha, NE

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Current Employers
Mutual Advisors, Llc

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-03-16
  • CA RA
    APPROVED
    Since 2023-03-16

Branch Locations

San Luis Obispo, CA • United States

9140 W Dodge Road Suite 230, Omaha, NE 68114 • 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
OrganizationCityStateFromTo
Mutual Securities, Inc Camarillo CA 03/2010 08/2021
Mutual Advisors, Llc Omaha NE 07/2013 Present
  • 03/2010 → 08/2021
    Mutual Securities, Inc
    Camarillo, CA
  • 07/2013 → Present
    Mutual Advisors, Llc
    Omaha, NE
Previous Registrations
  • 2010-04-05 → 2013-07-02
    Mutual Securities, Inc.
    Westlake Village, CA
    Bend, OR
  • 2008-11-11 → 2010-03-30
    Gunnallen Financial, Inc
    Redmond, OR
    Bend, OR
    Tampa, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-10
S63 Uniform Securities Agent State Law Examination 1997-09-22
  • S66 Uniform Combined State Law Examination
    2008-11-10
  • S63 Uniform Securities Agent State Law Examination
    1997-09-22
Other Names
  • Rich Peterson

View on SEC IAPD

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