DAVID EARL PETERSON is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 11 OAKDALE, IRVINE, CA, 92604.

DAVID EARL PETERSON has worked at AXA ADVISORS, LLC since June 01, 2005

Disclosure History

DAVID EARL PETERSON has 2 Disclosure Event(s).

Date: August 21, 2003
Category: Regulatory

Date: September 01, 1989
Category: Criminal

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DAVID EARL PETERSON, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.