David Earl Peterson

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2005-06-01

CA RA
APPROVED

Since 2005-06-01

Branch Locations

Irvine, CA • 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 Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	06/2005	06/2020
Equitable Advisors, Llc	New York	NY	06/2005	Present

06/2005 → 06/2020

Axa Advisors, Llc

New York, NY
06/2005 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

1997-07-25 → 2005-06-01

Mony Securities Corporation

Irvine, CA

Other Businesses

1. Outside Fixed Business. 2. Co-trustee of my 3 sisters' trusts: The Suzanne Patten Trust UAD 9/26/2016; The Janet Vandercook Trust UAD 9/26/2016; and The Joan Marsden Trust UAD 9/26/2016. The other co-trustee of these 3 trusts is my other sister Barbara Ott. 3. Trustee of the David Earl Peterson Revocable Trust dated 5/22/1992.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-03
S63	Uniform Securities Agent State Law Examination	1994-03-09

S65 Uniform Investment Adviser Law Examination

1999-09-03
S63 Uniform Securities Agent State Law Examination

1994-03-09

View on SEC IAPD