PO
Peter J. O'brien
CETERA INVESTMENT ADVISERS LLC
ANAHEIM HILLS, CA 92807
Some features on this profile are disabled
CRD#: 1158034
PO
Professional summary
Peter John O'brien, who also goes by Peter John Obrien, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Anaheim Hills, California and CETERA FINANCIAL SPECIALISTS LLC located in Anaheim Hills, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Peter has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter John Obrien
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) 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;
CRS (Client Relationship Summary) - RIA
Click below to view Peter John O'brien'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
January 28, 2013 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5101 E La Palma Ave Suite 100 B, Anaheim Hills, CA 92807RIA
CRD#: 105644
ANAHEIM HILLS, CA
Current
January 28, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5101 E La Palma Ave Suite 100 B, Anaheim Hills, CA 92807BD
CRD#: 10358
Anaheim Hills, CA
Past
January 3, 2011 - January 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BREA, CA
Past
January 3, 2011 - January 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BREA, CA
Past
October 26, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ANAHEIM, CA
Past
October 26, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ANAHEIM, CA
Past
April 1, 2009 - February 3, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
FOUNTAIN HILLS, AZ
Past
March 25, 2009 - February 3, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FOUNTAIN HILLS, AZ
Past
June 18, 2007 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SCOTTSDALE, AZ
Past
October 2, 2006 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SCOTTSDALE, AZ
Past
May 6, 1999 - February 6, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
May 30, 1992 - December 15, 1998
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
February 1, 1991 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 25, 1989 - February 11, 1991
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
August 14, 1986 - August 25, 1987
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
July 21, 1983 - August 27, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(1/28/2013)
RR
California(1/28/2013)
IAR
California(1/28/2013)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
