Peter John O'BRien

Current Employers

Employment History

• 01/2013 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2013 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-01-03 → 2013-01-29
  Wells Fargo Clearing Services, Llc
  El Segundo, CA
  Anaheim, CA
  Newport Beach, CA
  Anaheim, CA
  Brea, CA
  Beverly Hills, CA
• 2010-10-26 → 2011-01-03
  Wells Fargo Investments, Llc
  Anaheim, CA
• 2009-04-01 → 2010-02-03
  Chase Investment Services Corp.
  Fountain Hills, AZ
  Fountain Hills, AZ
  Fountain Hills, AZ
  Fountain Hills, AZ
• 2007-06-18 → 2009-02-09
  Banc Of America Investment Services, Inc.
  Scottsdale, AZ

Other Businesses

1) AMBASSADOR WEALTH MANAGEMENT; DBA NAME FOR INVESTMENT PRACTICE - INV. RELATED; ANAHEIM, CA; KEY EXECUTIVE/OWNER; SINCE 01/2013; 40 HRS/WEEK DURING SECURITIES TRADING HOURS: 2) ARBONNE INTERNATIONAL, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL LOCATION, HEALTH AND WELLNESS PRODUCTS, STARTED 01/20017, POSITION/TITLE/RELATIONSHIP: CONSULTANT, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ASSISTS SPOUSE WITH BUSINESS 3) NAME OF OTHER BUSINESS: BROTHERS ON A QUEST; INVESTMENT RELATED: NO; ADDRESS: 1057 E. IMPERIAL HIGHWAY #193, PLACENTIA, CA 92870; NATURE OF BUSINESS: NON-PROFIT; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD MEMBER, RAISE AWARENESS AND FUNDS TO FIGHT RARE NEUROLOGICAL DISEASE; 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2022 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS DISABILITY; 5) NAME OF OTHER BUSINESS: PETERSEN INTERNATIONAL UNDERWRITERS ; INVESTMENT RELATED: YES; ADDRESS: 23929 VALENCIA BLVD VALENCIA, CA 91355; NATURE OF BUSINESS: DISABILITY INSURANCE; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DISABILITY INSURANCE; 6) NAME OF OTHER BUSINESS: FINRA DISPUTE RESOLUTION SERVICES; INVESTMENT RELATED: NO; ADDRESS: 200 LIBERTY STREET 11TH FLOOR NEW YORK, NY 10281; NATURE OF BUSINESS: ARBITRATION; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: FINRA ARBITRATOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HEAR ALL SIDES OF A FINANCIAL SERVICES DISPUTE AND RENDER A BINDING DECISION;

Exams

• S66 Uniform Combined State Law Examination
  2007-05-17
• S65 Uniform Investment Adviser Law Examination
  1997-10-14
• S63 Uniform Securities Agent State Law Examination
  1989-10-30

Other Names

• Peter John Obrien