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Daniel Alan Peterson

Northbay Advisors

Rohnert Park, CA

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Current Employers
Northbay Advisors

6010 Commerce Blvd. Suite 142, Rohnert Park, CA 94928 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

6010 Commerce Blvd Suite 142, Rohnert Park, CA 94928 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northbay Financial Group, Inc Rohnert Park CA 01/2003 Present
  • 01/2003 → Present
    Northbay Financial Group, Inc
    Rohnert Park, CA
Previous Registrations
  • 2002-05-29 → 2003-12-31
    First Montauk Securities Corp.
    Rohnert Park, CA
Other Businesses

NORTH BAY FINANCIAL GROUP, INC.-PRES/CEO PROVIDES INCOME TAX PREPARATION RELATED SERVICES THROUGH ITS SUBSIDIARY EXPRESS INCOME TAX SERVICES. THESE SERVICES ARE NOT INVESTMENT RELATED. ADDRESS IS: 6010 COMMERCE BL SUITE 142, ROHNERT PARK, CA 94928

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-01-15
  • S66 Uniform Combined State Law Examination
    1999-01-15
Designations
Other Names
  • Daniel A Peterson

View on SEC IAPD

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