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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Dena Lee Petersen

Advisor at CHARLES SCHWAB & CO., INC.

Tampa, FL

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Search this name across graphsid dfx:ria:393bc142-c77d-1fcf-56e9-8936995cf777

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Apr 14, 2005
First registration: Mar 15, 2010
Dual registered: yes, broker-dealer
Other names: DENA LEE BEEM|DENA LEE PETERSON
IAPD individual key: 4872560

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 10, 2021	n/a	yes	Tampa, FL	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 21, 2014	Dec 5, 2014	no	DUBUQUE, IA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Sep 11, 2013	Jan 30, 2014	no	DUBUQUE, IA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 18, 2012	Sep 5, 2013	no	GALENA, IL\|FORT MILL, SC\|GALENA, IL\|GALENA, IL	Previous registration
GLOBAL PORTFOLIO STRATEGIES, INC.	Former SEC adviser	Mar 15, 2010	Jun 15, 2011	no	DUBUQUE, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Dec 5, 2014	Aug 10, 2021	2,440	Firm change after gap	Other
CETERA INVESTMENT SERVICES LLC	CETERA INVESTMENT ADVISERS LLC	Jan 30, 2014	Jan 21, 2014	-9	Bulk transfer	Other
LPL FINANCIAL LLC	CETERA INVESTMENT SERVICES LLC	Sep 5, 2013	Sep 11, 2013	6	Firm change	Other
GLOBAL PORTFOLIO STRATEGIES, INC.	LPL FINANCIAL LLC	Jun 15, 2011	Jan 18, 2012	217	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Aug 10, 2021 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 21, 2014 to Dec 5, 2014factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Sep 11, 2013 to Jan 30, 2014factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 18, 2012 to Sep 5, 2013factForm ADV
→ GLOBAL PORTFOLIO STRATEGIES, INC.Registered adviserregistration: previous registration
Mar 15, 2010 to Jun 15, 2011factForm ADV

Dated events

No dated event names this entity yet.