Brian Peterson

Employer firm

Pluto Wealth Management CRD 307295

$1.78M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Periodicals / newsletters
• Educational seminars
• PROJECT CONSULTING SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2018 → Present
  Pluto Wealth Management Llc
  Chandler, AZ
• 09/2017 → Present
  Thomas Ho Company Ltd.
  New York, NY
• 06/2018 → 01/2019
  Resources Global Professional
  Irvine, CA
• 01/2017 → 09/2017
  Avent, Inc.
  Phoenix, AZ
• 09/2014 → 01/2017
  Arizona Federal Credit Union
  Phoenix, AZ

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-07-06
• S63 Uniform Securities Agent State Law Examination
  2004-02-12