DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Dena Lee Petersen
Feed of 09/14/2026
Also filed as Dena Lee Beem
At current firm
5 y
since Aug 10, 2021
In the industry
21 y
since Apr 14, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Charles Schwab & Co., Inc. national BD currentsince Aug 10, 2021 · Tampa, Fl
- Cetera Investment Advisers LLC BD affiliatedJan 21, 2014 to Dec 5, 2014 · Dubuque, Ia
- Cetera Investment Services LLC formerSep 11, 2013 to Jan 30, 2014 · Dubuque, Ia
- LPL Financial LLC BD affiliatedJan 18, 2012 to Sep 5, 2013 · Galena, Il
- Global Portfolio Strategies, Inc. formerMar 15, 2010 to Jun 15, 2011 · Dubuque, Ia
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Charles Schwab & Co., Inc.left Dec 5, 2014, registered Aug 10, 2021 (2440 days) · Other
- Cetera Investment Services LLC to Cetera Investment Advisers LLCleft Jan 30, 2014, registered Jan 21, 2014 (-9 days) · corporate re-registration, not a move
- LPL Financial LLC to Cetera Investment Services LLCleft Sep 5, 2013, registered Sep 11, 2013 (6 days) · Other
- Global Portfolio Strategies, Inc. to LPL Financial LLCleft Jun 15, 2011, registered Jan 18, 2012 (217 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address