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Peter Fitch Keating

LPl Financial LLC

Novato, CA

CRD 265835

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-22
  • CA RA
    APPROVED
    Since 2026-01-22

Branch Locations

Novato, CA • 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
Western International Securities, Inc. Pasadena CA 03/2016 Present
Lpl Financial Llc Novato CA 06/2025 Present
  • 03/2016 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Novato, CA
Previous Registrations
  • 2016-03-22 → 2025-06-05
    Western International Securities, Inc.
    Petaluma, CA
    Novato, CA
    Campbell, CA
    Crystal Bay, NV
    Novato, CA
  • 2013-07-24 → 2016-03-09
    Wells Fargo Clearing Services, Llc
    San Francisco, CA
  • 1997-07-08 → 2009-04-15
    Ubs Financial Services Inc.
    San Francisco, CA
    San Francisco, CA
    Boston, MA
Other Businesses

Keating Marital Trust; Investment-Related; 297 Crest Rd., Novato, CA 94947; Trustee for Brother; 01/01/2001 - Present; 2 hrs/mo

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-07-26
S63 Uniform Securities Agent State Law Examination 1986-05-07
  • S65 Uniform Investment Adviser Law Examination
    2014-07-26
  • S63 Uniform Securities Agent State Law Examination
    1986-05-07
Other Names
  • Peter F. Keating

View on SEC IAPD

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