Peter R. Gardiner

THE INVESTMENT HOUSE LLC

Venice, CA

Some features on this profile are disabled

CRD#: 1297370

Professional summary

Peter Richard Gardiner was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Prior to being barred, Peter has worked at 5 firms, which includes MERRIMAN WEALTH ADVISORS, ONYX PARTNERS INCORPORATED, DREXEL BURNHAM LAMBERT INCORPORATED, CRESVALE INTERNATIONAL INC..

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Richard Gardiner'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

November 7, 2012 - Present

THE INVESTMENT HOUSE LLC

RIA

CRD#: 163493

Venice, CA

Past

May 22, 2012 - July 10, 2012

MERRIMAN WEALTH ADVISORS

RIA

CRD#: 158605

SAN FRANCISCO, CA

Past

November 9, 1995 - November 4, 1997

ONYX PARTNERS, INCORPORATED

CRD#: 29474

LAS VEGAS, NV

Past

November 18, 1985 - March 2, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 21, 1984 - June 21, 1985

CRESVALE INTERNATIONAL, INC.

CRD#: 10813

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".

THE INVESTMENT HOUSE LLC

CRD#: 163493 / SEC#: 801-76547

RIA

Registered Investment Advisory firm - (5/10/2012 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.

Highlighted states indicate IAR registrations

IAR

California
(11/7/2012)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/21/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/26/2012

General Securities Representative Examination

Current Firm

THE INVESTMENT HOUSE LLC

CRD#: 163493 / SEC#: 801-76547

RIA

Registered Investment Advisory firm - (5/10/2012 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

210 Avenue I Ste C, Redondo Beach, CA 90277

Mailing Address

5940 S. Rainbow Blvd Suite 400 Pmb 57150, Las Vegas, NV 89118-2507

Phone number

(310) 873-3021

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	556
AUM (Assets Under Management)	$ 1,951,065,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter R. Gardiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Richard Gardiner's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRIMAN WEALTH ADVISORS

ONYX PARTNERS, INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

CRESVALE INTERNATIONAL, INC.

Primary Firm SEC Registration

THE INVESTMENT HOUSE LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2012

Series 63

Date: 6/13/1994

Series 7

Date: 3/26/2012

Current Firm

THE INVESTMENT HOUSE LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INVESTMENT HOUSE LLC

TRUST BUT VERIFY

Similar Advisors