PS
Peter A. Sigal
CETERA INVESTMENT ADVISERS LLC
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 1081389
PS
Professional summary
Peter Anthony Sigal is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA WEALTH SERVICES, LLC located in Greenwood Village, Colorado.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 8 and Series 24 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 OTHER BUSINESS: DENVER CASA; INVESTMENT RELATED: NO; ADDRESS: 960 N CLARKSON ST. DENVER, CO 80218; NATURE OF BUSINESS: COURT APPOINTED SPECIAL ADVOCATE FOR CHILDREN GOING THROUGH THE FAMILY COURT PROCESS; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: COURT APPOINTED SPECIAL ADVOCATE FOR CHILDREN GOING THROUGH THE FAMILY COURT PROCESS. 2. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: OSJ MANAGER & FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY AND BROKERAGE FOR INDIVIDUAL INVESTOR CLIENTS; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 08/2023, 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 LIFE AND FIXED ANNUITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Peter Anthony Sigal'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: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111RIA
CRD#: 105644
GREENWOOD VILLAGE, CO
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111BD
CRD#: 13572
Greenwood Village, CO
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SCOTTSDALE, AZ
Past
September 7, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
GREENWOOD VILLAGE, CO
Past
August 12, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
GREENWOOD VILLAGE, CO
Past
October 7, 2014 - June 22, 2016
BAKERAVENUE
RIA
CRD#: 132657
SOUTHLAKE, TX
Past
September 17, 2008 - May 6, 2014
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
Past
September 16, 2008 - May 6, 2014
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SAN FRANCISCO, CA
Past
December 15, 2006 - November 30, 2007
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
December 22, 1982 - May 25, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
HOUSTON, TX
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
Arizona(5/25/2022)
RR
Arkansas(3/7/2024)
RR
California(4/20/2022)
RR
Colorado(4/20/2022)
IAR
Colorado(6/29/2023)
RR
Georgia(3/7/2024)
RR
Illinois(12/13/2023)
RR
Indiana(3/14/2023)
RR
Pennsylvania(6/2/2022)
RR
Texas(4/20/2022)
IAR
Texas(6/29/2023)
RR
Virginia(11/5/2025)
RR
Wyoming(3/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory 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.
