SP
Stephen M. Peer
CETERA INVESTMENT ADVISERS LLC
ALBANY, NY 12203
Some features on this profile are disabled
CRD#: 1034108
SP
Professional summary
Stephen Mark Peer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Albany, New York and CETERA WEALTH SERVICES, LLC located in Albany, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Stephen has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF ENTITY:PROFESSIONAL PLANNING GROUP; Yes; 200 GREAT OAKS BLVD STE 221; ALBANY; NY; 12203; FINANCIAL SERVICES/DBA; ASSOCIATE; 8/19/2016; 160; 160; SALE & SERVICE FIXED INSURANCE AND SECURITIES PRODUCTS.| 2. NAME OF ENTITY: Independent Insurance Agent; Yes; 200 GREAT OAKS BLVD STE 221; ALBANY; NY; 12203; Fixed Insurance Sales; Independent Insurance Agent; 7/1/2010; 160; 160; Sales of fixed insurance products| 3. NAME OF OTHER BUSINESS: PEER WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: OWNER / IAR / INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: INSURANCE & FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Mark Peer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 Great Oaks Blvd Ste 221, Albany, NY 12203RIA
CRD#: 105644
ALBANY, NY
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Great Oaks Blvd Ste 221, Albany, NY 12203BD
CRD#: 13572
Albany, NY
Past
September 7, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 7, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ALBANY, NY
Past
November 14, 1999 - July 9, 2009
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ALBANY, NY
Past
October 20, 1997 - October 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 13, 1982 - September 5, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
April 29, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/9/2021)
RR
Connecticut(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Maine(1/25/2022)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
Michigan(3/15/2023)
RR
New Jersey(6/9/2021)
RR
New York(6/9/2021)
IAR
New York(6/29/2023)
RR
North Carolina(7/14/2025)
RR
Oklahoma(9/8/2022)
RR
Pennsylvania(4/19/2022)
RR
Rhode Island(8/7/2023)
RR
South Carolina(6/9/2021)
RR
Texas(1/2/2025)
IAR
Texas(3/27/2025)
RR
Vermont(6/9/2021)
RR
Virginia(6/9/2021)
RR
Washington(1/2/2025)
RR
Wisconsin(6/12/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
