Peter A. Mcclellan
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.
Peter Andrew Mcclellan, ChFC® was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2021 - October 10, 2022
LPL FINANCIAL LLC
November 1, 2021 - October 10, 2022
LPL FINANCIAL LLC
November 14, 2008 - November 1, 2021
GENEOS WEALTH MANAGEMENT, INC.
November 14, 2008 - November 1, 2021
GENEOS WEALTH MANAGEMENT, INC.
March 18, 2008 - November 18, 2008
FSC SECURITIES CORPORATION
July 29, 1994 - November 18, 2008
FSC SECURITIES CORPORATION
January 2, 1991 - July 30, 1994
CETERA WEALTH SERVICES, LLC
June 11, 1990 - December 31, 1990
FIRST PACIFIC CAPITAL CORPORATION
February 3, 1989 - June 14, 1990
KEOGLER, MORGAN & COMPANY, INC.
November 2, 1988 - December 16, 1989
CAREY JAMISON & COMPANY
November 19, 1987 - October 31, 1988
HIBBARD BROWN & CO., INC.
April 14, 1987 - December 21, 1987
AAM SECURITIES, INC.
January 14, 1987 - April 27, 1987
FSC SECURITIES CORPORATION
August 21, 1985 - February 4, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
