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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-03-21
  • NJ RA
    APPROVED
    Since 2024-03-21

Branch Locations

1540 Highway 138 Ste 303, Wall, NJ 07719 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lincoln Investment Planning Inc. Voorhees NJ 03/2009 10/2018
Cetera Advisors Llc Denver CO 10/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 03/2009 → 10/2018
    Lincoln Investment Planning Inc.
    Voorhees, NJ
  • 10/2018 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-03-27 → 2018-10-29
    Marlton, NJ
  • 2015-03-31 → 2018-10-29
    Marlton, NJ
  • 2004-04-20 → 2009-03-30
    Osaic Fa, Inc.
    Edison, NJ
    Iselin, NJ
  • 2002-07-31 → 2003-12-08
    Msi Financial Services, Inc.
    Tinton Falls, NJ
Other Businesses

(1) NAME OF OTHER BUSINESS: SAFE HARBOR FINANCIAL LLC; INVESTMENT RELATED: YES; ADDRESS: 1540 HIGHWAY 138 SUITE 303, WALL, NJ 07719; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-10-24
  • S63 Uniform Securities Agent State Law Examination
    1988-10-24
Designations
Other Names
  • Peter Francis P

View on SEC IAPD

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