Charles Spencer Peterson

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-10-05
CO	RA	APPROVED	2017-10-04

TX RA
APPROVED_RES

Since 2017-10-05
CO RA
APPROVED

Since 2017-10-04

Branch Locations

Durango, CO • 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

Organization	City	State	From	To
Cantella And Co., Inc.	Boston	MA	04/2011	09/2017
Lpl Financial, Llc	Durango	CO	10/2017	Present

04/2011 → 09/2017

Cantella And Co., Inc.

Boston, MA
10/2017 → Present

Lpl Financial, Llc

Durango, CO

Previous Registrations

2011-04-12 → 2017-10-05

Cantella & Co., Inc.

Durango, CO

Malden, MA

Durango, CO

Malden, MA
2008-08-04 → 2011-04-04

Wells Fargo Clearing Services, Llc

Durango, CO
2003-12-17 → 2004-12-14

Brown Advisory

Baltimore, MD

Other Businesses

1. 10/04/2017 - ROBERSTON FAMILY FARM, LLC/ FARM/ 1%/ SPARKS, MD 2. 10/04/2017 - CIMARRON GOLF PARTERS/ BUSINESS OWNER/ 3%/ DURANGO, CO 3. 10/04/2017 - DURANGO WEALTH MANAGEMENT, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ DURANGO, CO 4. 10/04/2017 - CHARLES PETERSON/ NON-VARIABLE INSURANCE/ 10%/ DURANGO, CO 5. 11/20/2017 - Aries, LLC - Investment Related - Business Entity For Tax/Investment Purposes Only - 208 Ball Lane, Durango, CO 81301 - Start Date 12/01/2003 - 0 Hours Per Month/0 Hours during Securities Trading - Aries, LLC business entity

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-08-01
S65	Uniform Investment Adviser Law Examination	1993-11-23
S63	Uniform Securities Agent State Law Examination	1987-03-27

S66 Uniform Combined State Law Examination

2008-08-01
S65 Uniform Investment Adviser Law Examination

1993-11-23
S63 Uniform Securities Agent State Law Examination

1987-03-27

View on SEC IAPD