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Rick Charles Peterson

Principal Securities, Inc.

Lake Elmo, MN

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-09-07
MN RA APPROVED 2015-04-03
  • TX RA
    APPROVED_RES
    Since 2022-09-07
  • MN RA
    APPROVED
    Since 2015-04-03

Branch Locations

8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042 • 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
Principal Life Insurance Company Lake Elmo MN 09/2014 Present
Principal Securities Lake Elmo MN 03/2016 Present
Csp & Associates Lake Elmo MN 05/2024 Present
Atlas Wealth & Retirement Lake Elmo MN 05/2024 Present
  • 09/2014 → Present
    Principal Life Insurance Company
    Lake Elmo, MN
  • 03/2016 → Present
    Principal Securities
    Lake Elmo, MN
  • 05/2024 → Present
    Csp & Associates
    Lake Elmo, MN
  • 05/2024 → Present
    Atlas Wealth & Retirement
    Lake Elmo, MN
Other Businesses

OUTSIDE INSURANCE, LTC, DI, FIXED LIFE & ANNUITIES, HEALTH, MEDICAL, SUPPLEMENTAL, 3/31/15.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-03
S63 Uniform Securities Agent State Law Examination 2014-11-04
  • S65 Uniform Investment Adviser Law Examination
    2015-04-03
  • S63 Uniform Securities Agent State Law Examination
    2014-11-04

View on SEC IAPD

Other Firms

SCM INVESTMENT SERVICES
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
FRANCIS LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
BEACON POINTE ADVISORS, LLC
AE WEALTH MANAGEMENT, LLC

Other Investors

MICHAEL LEE ERPENBACH
Paige Joann Hoffman
WILLY FRED ZIMMERMAN
CHRISTINE DIANE PAWLENTY
MATTHEW WALTER DOBBINS
MICHAEL PATRICK CONLON
RYAN P SCOTT
Casey Kenneth Leanna

Other Offices

SCM INVESTMENT SERVICES · LAKE ELMO, MN
LPL FINANCIAL LLC · LAKE ELMO, MN
AMERIPRISE FINANCIAL SERVICES, LLC · LAKE ELMO, MN
FRANCIS LLC · Lake Elmo, MN
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · LAKE ELMO, MN
THRIVENT INVESTMENT MANAGEMENT INC. · Lake Elmo, MN
LPL FINANCIAL LLC · LAKE ELMO, MN
BEACON POINTE ADVISORS, LLC · Lake Elmo, MN

More in Lake Elmo, MN

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