Peter A. Vandenbroeck

CARNEGIE INVESTMENT COUNSEL

Cleveland, OH 44124

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CRD#: 1364434

Professional summary

Peter Alfred Vandenbroeck, who also goes by Peter Alfred Vandenbroeck Mr, is a registered financial advisor currently at CARNEGIE INVESTMENT COUNSEL located in Cleveland, Ohio.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Peter has worked at 9 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Alfred Vandenbroeck Mr

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.

NOTRE DAME COLLEGE, SOUTH EUCLID OH, ADVISORY ROLL - INVESTMENT COMMITTEE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Alfred Vandenbroeck'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

October 10, 2017 - Present

CARNEGIE INVESTMENT COUNSEL

Office #1: 30300 Chagrin Blvd., Cleveland, OH 44124

RIA

CRD#: 150488

Cleveland, OH

Past

July 16, 2015 - December 12, 2017

MIDWEST INVESTMENT MANAGEMENT LLC

RIA

CRD#: 111170

CLEVELAND, OH

Past

November 30, 2006 - May 13, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BEACHWOOD, OH

Past

October 25, 2006 - May 13, 2013

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BEACHWOOD, OH

Past

November 14, 2005 - July 28, 2006

FAIRPORT ASSET MANAGEMENT, LLC

RIA

CRD#: 110838

CLEVELAND, OH

Past

September 1, 1997 - July 14, 1998

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

November 1, 1995 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

January 20, 1992 - November 21, 1995

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 4, 1990 - January 20, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 22, 1985 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

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".

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 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

Ohio
(10/10/2017)

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: 12/13/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/20/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/18/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/24/2006

General Securities Representative Examination

Current Firm

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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Contact information

Main Address

30300 Chagrin Boulevard, Pepper Pike, OH 44124

Mailing Address

Phone number

(216) 367-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARNEGIE FORM ADV PART 2A 03-31-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	8,127
AUM (Assets Under Management)	$ 6,520,130,588

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
07/13/2023	Cover Page	Report
02/08/2023	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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Advisor Monitoring

Firm Stability Insights

Peter A. Vandenbroeck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Alfred Vandenbroeck's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIDWEST INVESTMENT MANAGEMENT LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

FAIRPORT ASSET MANAGEMENT, LLC

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

DEUTSCHE BANK SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

Primary Firm SEC Registration

CARNEGIE INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2006

Series 65

Date: 6/20/1995

Series 63

Date: 7/18/1985

Series 7

Date: 10/24/2006

Current Firm

CARNEGIE INVESTMENT COUNSEL

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARNEGIE INVESTMENT COUNSEL

TRUST BUT VERIFY

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