Paul Peterson

CRD 2725958 · J.P. Morgan Securities LLC · Los Gatos, CA

IA RegisteredBroker

Also appears in the source record as: Paul Michael Peterson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 57TOSeries 79TOSIESeries 55Series 7Series 6Series 66Series 63
Registered states (12): Arizona · California · District Of Columbia · Florida · Minnesota · Nevada · New Hampshire · New York · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (14)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Los Gatos, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Los Gatos, CA · BC capacity

start not retrieved → present
Td Ameritrade, Inc.
San Francisco, CA · IA capacity

Nov 17, 2016 → Sep 24, 2019
Td Ameritrade Investment Management, LLC
San Francisco, CA · IA capacity

Nov 17, 2016 → Sep 24, 2019
Td Ameritrade, Inc.
San Francisco, CA · BC capacity

Nov 17, 2016 → Sep 24, 2019
Abg Sundal Collier Inc.
New York, NY · BC capacity

Nov 10, 2014 → Mar 22, 2016
Mizuho Securities USA Inc.
San Francisco, CA · BC capacity

Apr 7, 2010 → Apr 22, 2014
William Blair & Company L.L.C.
Chicago, IL · BC capacity

Sep 17, 2009 → Apr 6, 2010
Rbc Capital Markets Corporation
San Francisco, CA · BC capacity

Feb 29, 2008 → May 8, 2009
Rbc Capital Markets Corporation
San Francisco, CA · BC capacity

Mar 24, 2005 → Feb 29, 2008
Thomas Weisel Partners LLC
San Francisco, CA · BC capacity

Mar 16, 2001 → Mar 18, 2005
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Sep 24, 1997 → Mar 16, 2001
Interfirst Capital Corporation
Los Angeles, CA · BC capacity

Aug 14, 1997 → Sep 19, 1997
Fidelity Investments Institutional Services Company, Inc.
Smithfield, RI · BC capacity

Mar 25, 1996 → May 14, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2725958 ↗ FINRA BrokerCheck record for CRD 2725958 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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