Lance Peterson has been an investment adviser representative at Wakefield Asset Management, LLLP since December 2021, and is not listed among the firm’s executive officers or direct owners.
Wakefield Asset Management, LLLP is an Englewood, CO firm with $454M under management, 201 clients and 3 advisers in one office, as of its March 2026 filing.
Lance Peterson’s longest registration was 8 years at Scout Investments, Inc. (2009–2017). Before joining Wakefield Asset Management, LLLP in 2021, Lance Peterson was registered through Carillon Tower Advisers, Inc. and Scout Investments, Inc.
- – present · 4 yearsEnglewood, CO · Adviser representative · Firm CRD 143720
- Carillon Tower Advisers, Inc.– · 1 yearKansas City, MO · Adviser representative · Firm CRD 174904
- Scout Investments, Inc.– · 8 yearsKansas City, MO · Adviser representative · Firm CRD 111787
Investment adviser representative registrations
Lance Peterson is registered as an investment adviser representative in Colorado, since December 2021.
- ColoradoSince 1 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 June 2009 |
| Series 7 | General Securities Representative Examination | 18 October 1999 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 22 June 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 August 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 May 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Lance Eric Peterson
- CRD
- 2415886
- Firm
- Wakefield Asset Management, LLLP · CRD 143720
- Office
- 7887 EAST BELLEVIEW AVE, SUITE #800, Englewood, CO 80111
- Registration
- Investment adviser registration
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Lance Peterson work?
Lance Peterson is an investment adviser representative registered through Wakefield Asset Management, LLLP since December 2021, and is not listed among the firm’s executive officers or direct owners.
Is Lance Peterson a financial advisor?
Yes. Lance Peterson has a current investment-adviser registration in Colorado, through Wakefield Asset Management, LLLP since December 2021.
How many years of experience does Lance Peterson have?
Lance Peterson has 29 years in the financial industry, since July 1997, across 3 adviser firms.
What exams has Lance Peterson passed?
Lance Peterson has passed 5 licensing exams: the Series 6, Series 63, Series 26, Series 7 and Series 66. The earliest, the Series 6, was passed in May 1994. FINRA credited Lance Peterson with the SIE, which began in October 2018.
Where did Lance Peterson work before Wakefield Asset Management, LLLP?
Before Wakefield Asset Management, LLLP, Lance Peterson was registered through Carillon Tower Advisers, Inc., June 2018 to January 2020; Scout Investments, Inc., June 2009 to November 2017.
Where is Lance Peterson based?
Lance Peterson’s registered office is in Englewood, CO.
Is Lance Peterson registered with FINRA?
No. Lance Peterson has no current broker registration.
How can I verify Lance Peterson’s record?
Search CRD 2415886 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lance Peterson’s full registration record.