Erik Peterson

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

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

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

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2025-06-10
ND	RA	APPROVED	2024-04-08
TX	RA	APPROVED	2024-04-03

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

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

Organization	City	State	From	To
Wells Fargo Advisors	Saint Louis	MO	06/2014	11/2016
Wells Fargo Clearing Services, Llc	Saint Louis	MO	11/2016	08/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Fargo	ND	08/2022	01/2023
Bank Of America N.A.	Fargo	ND	10/2022	01/2023
Sagepoint Financial, Inc.,	Phoenix	AZ	02/2023	03/2024
Lpl Financial Llc	San Diego	CA	03/2024	Present

06/2014 → 11/2016

Wells Fargo Advisors

Saint Louis, MO
11/2016 → 08/2022

Wells Fargo Clearing Services, Llc

Saint Louis, MO
08/2022 → 01/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fargo, ND
10/2022 → 01/2023

Bank Of America N.A.

Fargo, ND
02/2023 → 03/2024

Sagepoint Financial, Inc.,

Phoenix, AZ
03/2024 → Present

Lpl Financial Llc

San Diego, CA

2023-09-04 → 2024-03-25

Osaic Wealth, Inc.

Scottsdale, AZ
2023-02-22 → 2023-09-01

Osaic Services, Inc.

Scottsdale, AZ
2022-10-03 → 2023-02-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fargo, ND
2016-11-21 → 2022-08-22

Wells Fargo Clearing Services, Llc

St. Louis, MO

Sun City, AZ

Scottsdale, AZ

Sioux Falls, SD

Fargo, ND

Minneapolis, MN

Seattle, WA

Seattle, WA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-25
S63	Uniform Securities Agent State Law Examination	2014-03-14