Gary G. Peterson

CETERA INVESTMENT ADVISERS LLC

PARMA, OH 44134

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CRD#: 1205047

Professional summary

Gary Galen Peterson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Parma, Ohio and CETERA ADVISORS LLC located in Parma, Ohio.

Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gary has worked at 11 firms and has passed the Series 63, 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. FINANCIAL RESOURCE CENTER, 5296 STATE RD, PARMA, OH 44134, 01/01/05, TAX PREPARATION, SEASONAL, $15,000/YR. 2. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 09/2010; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Galen Peterson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1440 Rockside Rd Ste 324, Parma, OH 44134

RIA

CRD#: 105644

PARMA, OH

Current

July 8, 2005 - Present

CETERA ADVISORS LLC

Office #1: 1440 Rockside Rd Ste 324, Parma, OH 44134

CRD#: 10299

Parma, OH

Past

July 11, 2005 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

PARMA, OH

Past

May 6, 2005 - June 27, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 15, 2003 - March 25, 2003

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MINNEAPOLIS, MN

Past

August 20, 1999 - January 17, 2003

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 28, 1998 - August 27, 1999

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

April 25, 1997 - September 8, 1998

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

August 18, 1995 - June 4, 1996

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

July 18, 1995 - August 3, 1995

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

March 31, 1992 - March 28, 1995

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

July 7, 1989 - November 5, 1991

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

December 22, 1983 - June 7, 1989

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Ohio
(7/8/2005)

IAR

Ohio
(3/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/21/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Gary G. Peterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Galen Peterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

QUESTAR CAPITAL CORPORATION

FSC SECURITIES CORPORATION

CUNA BROKERAGE SERVICES, INC.

CHARTER ONE SECURITIES, INC.

CONSECO SECURITIES, INC.

COMPULIFE INVESTOR SERVICES, INC.

CAL FED INVESTMENTS

COMPULIFE INVESTOR SERVICES, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1992

Series 6

Date: 12/21/1983

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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