Kathleen Margaret Peake

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2014 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 07/2014 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2018 → 12/2018
  Landmark Events
  Fort Collins, CO
• 11/2018 → 08/2023
  Felicia Searcy Llc
  Greeley, CO
• 02/2019 → 06/2019
  Weld County Re-4
  Windsor, CO

Previous Registrations

• 2013-08-13 → 2014-08-01
  Osaic Services, Inc.
  Tucson, AZ
• 2011-09-22 → 2012-12-17
  National Planning Corporation
  Tucson, AZ
  Tucson, AZ
• 2009-10-07 → 2011-09-29
  Woodbury Financial Services, Inc.
  Tucson, AZ
  Tucson, AZ

Other Businesses

1) HEALTH INSURANCE AND INTERNATIONAL MEDICAL INSURANCE SALES, NON-INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION 2) CATALINA SYSTEMS INTERNATIONAL, NON-INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION, BUSINESS CONSULTING FOR CONSUMER PRODUCT SALES WITH OTHER INDEPENDENT BUSINESS OWNERS, SINCE 10/1993, 1H/WEEK: 3) THE PEAKE FINANCIAL GROUP, INV RELATED, SAME ADDRESS AS REGISTERED LOCATION, DBA FOR INVESTMENT PRACTICE: 4) TUSCON CHAPTER OF eWOMENNETWORK INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NETWORKING SYSTEM FOR LOCAL COMMUNITY TO PROMOTE BUSINESS START DATE: 4/2016 APX NUMBER OF HOURS PER WEEK: 7 APX NUMBER OF TRADING HOURS PER WEEK: 7 POSITION/TITLE/RELATIONSHIP: MANAGING DIRECTOR BRIEF DESCRIPTION OF DUTIES: PROMOTE EVENTS, LEADERSHIP TEAM 5) NAME OF OTHER BUSINESS: FUNANCIAL FREEDOM ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL EDUCATION ; START DATE: 06/2021 ; POSITION/TITLE/RELATIONSHIP: AMBASSADOR ; APX NUMBER OF HOURS PER WEEK: 5-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 ; BRIEF DESCRIPTION OF DUTIES: MARKET AND PROMOTE PRODUCTS ; 6) NAME OF OTHER BUSINESS: INTERNATIONAL MEDICAL INSURANCE ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TRAVEL AND TRAVEL MEDICAN INSURANCE ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: AGENT ; APX NUMBER OF HOURS PER WEEK: 2-5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2-5 ; BRIEF DESCRIPTION OF DUTIES: OFFERING OPTIONS FOR ADDITIONAL INSURANCE ; 7) NAME OF OTHER BUSINESS: EMPOWERING WOMEN ALLIANCE LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: WOMEN EMPOWERMENT; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: MEMBER/OFFICER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PUBLISHING BOOKS, DEVELOPING WORKSHOPS, MERCHANDISE, COACHING FOR WOMEN EMPOWERMENT;

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-05-28
• S63 Uniform Securities Agent State Law Examination
  2001-12-17

Other Names

• Kathleen Margaret Epson
• Kathleen Margaret Spaulding
• Kathleen Margaret Mcdaniel