Steven G. Peck
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Graham Peck was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - July 30, 2021
CETERA INVESTMENT ADVISERS LLC
January 2, 2018 - July 30, 2021
CETERA INVESTMENT SERVICES LLC
November 2, 2011 - December 31, 2017
INVEST FINANCIAL CORPORATION
November 12, 2004 - November 4, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 8, 2000 - November 17, 2004
LPL FINANCIAL LLC
September 20, 1999 - April 6, 2000
INVEST FINANCIAL CORPORATION
November 6, 1998 - September 10, 1999
BANC ONE SECURITIES CORPORATION
August 31, 1990 - November 6, 1998
FINANCIAL AMERICA SECURITIES, INC.
May 31, 1989 - September 4, 1990
FIRST AFFILIATED SECURITIES
December 14, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
July 11, 1985 - January 1, 1989
LEHMAN BROTHERS INC.
June 22, 1983 - December 13, 1988
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
