Douglas Peterson has held the title Member at Professional Financial Advisors since January 2003, is a control person of the firm and directly owns between 25% and 50% of it.
Professional Financial Advisors, LLC is a North Platte, NE firm with $770M under management, 3,345 clients and 7 advisers across 4 offices, as of its June 2026 filing.
Douglas Peterson’s longest registration is the current one, 11 years at Professional Financial Advisors since 2015. Before joining Professional Financial Advisors in 2015, Douglas Peterson was registered through Sagepoint Financial, Inc. and Professional Financial Advisors, LLC.
- – present · 11 yearsNorth Platte, NE · Adviser representative · Firm CRD 173719
- Sagepoint Financial, Inc.– · 5 yearsNorth Platte, NE · Adviser representative · Firm CRD 133763
- Professional Financial Advisors, LLC– · 7 yearsNorth Platte, NE · Adviser representative · Firm CRD 124602
- Personal Investment Management Services– · 7 yearsNorth Platte, NE · Adviser representative · Firm CRD 116412
Investment adviser representative registrations
Douglas Peterson is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from May 2015; the most recent is Texas, in September 2018.
- NebraskaSince 19 May 2015
- TexasResidentSince 5 September 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 21 September 1998 |
| Series 24 | General Securities Principal Examination | 14 March 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 October 1984 |
| Series 7 | General Securities Representative Examination | 15 September 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Douglas De Wayne Peterson
- CRD
- 1303079
- Firm
- Professional Financial Advisors · CRD 173719
- Role
- Member
- Office
- 1400 S DEWEY ST, SUITE 300, North Platte, NE 69101-5311
- Registration
- Investment adviser registration
- In the industry since
- September 1984
- Disciplinary history
- Not yet shown here · SEC record
Where does Douglas Peterson work?
Douglas Peterson has held the title Member at Professional Financial Advisors, LLC since January 2003, and is a control person of the firm.
Is Douglas Peterson a financial advisor?
Yes. Douglas Peterson has a current investment-adviser registration in Nebraska and Texas, through Professional Financial Advisors since May 2015.
How many years of experience does Douglas Peterson have?
Douglas Peterson has 42 years in the financial industry, since September 1984, across 4 adviser firms.
What exams has Douglas Peterson passed?
Douglas Peterson has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in September 1984. FINRA credited Douglas Peterson with the SIE, which began in October 2018.
Where did Douglas Peterson work before Professional Financial Advisors?
Before Professional Financial Advisors, Douglas Peterson was registered through Professional Financial Advisors, LLC (CRD 124602), February 2003 to October 2010; Personal Investment Management Services, July 1995 to June 2003.
Where is Douglas Peterson based?
Douglas Peterson’s registered office is in North Platte, NE.
Is Douglas Peterson registered with FINRA?
No. Douglas Peterson has no current broker registration.
How can I verify Douglas Peterson’s record?
Search CRD 1303079 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Douglas Peterson’s full registration record.
