TP
Timothy D. Peyko
CETERA INVESTMENT ADVISERS LLC
S BURLINGTON, VT
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CRD#: 1422013
TP
Professional summary
Timothy David Peyko is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in S Burlington, Vermont and CETERA FINANCIAL SPECIALISTS LLC located in S Burlington, Vermont.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Timothy has worked at 5 firms and has passed the Series 65, Series 63, SIE 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) NAME OF OTHER BUSINESS: CASTLE ADVISORS;
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION:
NATURE OF BUSINESS: DBA NAME FOR FINANCIAL SERVICES
START DATE: 09/2009 ;
POSITION/ TITLE/RELATIONSHIP: LLP; PARTNER;
40 HRS/MONTH DURING SECURITIES TRADING HOURS:
DUTIES: SALE OF INVESTMENT & INSURANCE PRODUCTS ;
2) NAME OF OTHER BUSINESS: HIGHLAND CAPITAL BROKERAGE ;
INVESTMENT RELATED: NO ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: INSURANCE SALES ;
START DATE 01/2009 ;
POSITION/ TITLE/ RELATIONSHIP: PRODUCT SPECIALIST ;
15 HRS/MONTH, 15 HRS/MONTH DURING SECURITIES TRADING HOURS:
DUTIES: SALE OF FIXED, NON-SECURITIES LIFE INSURANCE AND ANNUITY SALES;
3) NAME OF OTHER BUSINESS: STRATEGIC BENEFITS GROUP LLC ;
INVESTMENT RELATED: NO ;
ADDRESS: SAME AS REGISTERED ADDRESS;
NATURE OF BUSINESS: GROUP INSURANCE AND EMPLOYEE BENEFITS FIXED INSURANCE SALES;
START DATE: 01/1999
POSITION/ TITLE/RELATIONSHIP: FOUNDER/CHAIRMAN;
DUTIES: SALES OF FIXED INSURANCE PRODUCTS THROUGH VARIOUS COMPANIES ;
4) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE: 2009, INSURANCE AGENT , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy David Peyko'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
April 5, 2013 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
S BURLINGTON, VT
Current
March 27, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
S BURLINGTON, VT
Past
November 18, 2009 - March 28, 2013
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
COLCHESTER, VT
Past
February 23, 2007 - November 17, 2009
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
COLCHESTER, VT
Past
February 16, 2007 - March 28, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
COLCHESTER, VT
Past
June 1, 2005 - February 23, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLCHESTER, VT
Past
June 1, 2005 - February 23, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
COLCHESTER, VT
Past
March 8, 2000 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
WILLISTON, VT
Past
March 17, 1994 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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
Florida(9/11/2017)
RR
Massachusetts(1/15/2016)
RR
New York(5/26/2020)
RR
South Carolina(5/1/2025)
RR
Texas(3/4/2025)
IAR
Texas(3/4/2025)
RR
Vermont(3/28/2013)
IAR
Vermont(4/5/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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)
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.
