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Douglas De Wayne Peterson

PROFESSIONAL FINANCIAL ADVISORS, LLC·NORTH PLATTE, Nebraska
SIE, Series 7, Series 24, Series 63, Series 65CFPChFC31 years registeredPROFESSIONAL FINANCIAL ADVISORS, LLC
1400 S DEWEY ST, NORTH PLATTE, NE 69101-5311CRD# 1303079Firm CRD# 173719

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Douglas De Wayne Peterson · NORTH PLATTE, NE
Registration
CRD #1303079 · PROFESSIONAL FINANCIAL ADVISORS, LLC · 31 years registered
Brand Profile
Not yet started
01

Career History

PROFESSIONAL FINANCIAL ADVISORS, LLC
May 2015 – present
SAGEPOINT FINANCIAL, INC.
Apr 2010 – Nov 2015
NORTH PLATTE, NE
PROFESSIONAL FINANCIAL ADVISORS, LLC
Feb 2003 – Oct 2010
NORTH PLATTE, NE
PERSONAL INVESTMENT MANAGEMENT SERVICES
Jul 1995 – Jun 2003
NORTH PLATTE, NE
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 63
Series 65
Registration record
First registered · July 18, 1995
Years registered · 31
Professional designations · CFP, ChFC
03

Disclosure History

2020Customer Dispute·Closed-No Action
2006Customer Dispute·Denied
2005Customer Dispute·Award / Judgment

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
PROFESSIONAL FINANCIAL ADVISORS, LLC
CRD 173719 · SEC 801-114978
AUM
$500M
Regulatory assets under management
Employees
7
3,038 client accounts
Services offered by PROFESSIONAL FINANCIAL ADVISORS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at PROFESSIONAL FINANCIAL ADVISORS, LLC →
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05

Frequently Asked Questions

What services does Douglas De Wayne Peterson offer?
Douglas De Wayne Peterson specializes in Financial Planning, Investment Management. Contact their office in NORTH PLATTE, Nebraska for a consultation.
What are Douglas De Wayne Peterson's credentials?
Douglas De Wayne Peterson holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Douglas De Wayne Peterson located?
Douglas De Wayne Peterson is based in NORTH PLATTE, Nebraska, working with PROFESSIONAL FINANCIAL ADVISORS, LLC. Their office serves clients in the NORTH PLATTE metropolitan area and surrounding communities.
How does Douglas De Wayne Peterson charge for services?
Douglas De Wayne Peterson's firm is compensated through percentage of aum, hourly charges, subscription fees, other: percentage of assets under advisement. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is PROFESSIONAL FINANCIAL ADVISORS, LLC?
PROFESSIONAL FINANCIAL ADVISORS, LLC has approximately 7 employees and manages $500M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at PROFESSIONAL FINANCIAL ADVISORS, LLC

Thomas M Obrist
NORTH PLATTE, NE
Kent Michael Klute
NORTH PLATTE, NE
Marc William Werkmeister
NORTH PLATTE, NE
Dennis Lee Hadden
NORTH PLATTE, NE

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