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One Heritage Plaza 7501 Lemont Road, Suite 20B, Woodridge, IL 60517 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-03-18 |
| AZ | RA | APPROVED | 2020-01-31 |
Branch Locations
One Heritage Plaza 7501 Lemont Road, Suite 20B, Woodridge, IL 60517 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pluto Wealth Management Llc | Chandler | AZ | 08/2018 | Present |
| Thomas Ho Company Ltd. | New York | NY | 09/2017 | Present |
| Resources Global Professional | Irvine | CA | 06/2018 | 01/2019 |
| Avent, Inc. | Phoenix | AZ | 01/2017 | 09/2017 |
| Arizona Federal Credit Union | Phoenix | AZ | 09/2014 | 01/2017 |
Mr. Peterson has a consulting business for corporations reviewing and establishing Treasury functions, overall department structure, etc. He is engaged on a project basis by corporations for this service. When engaged, he spends approximately 15% of his time on this activity. All other employment for Mr. Peterson has been reported in Item 12 on this Form U4.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-12 |
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