PS
Peter A. Sorensen
CETERA INVESTMENT ADVISERS LLC
ESTERO, FL
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CRD#: 1454231
PS
Professional summary
Peter Alan Sorensen, who also goes by Pete Sorensen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Estero, Florida and CETERA WEALTH SERVICES, LLC located in Estero, Florida.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Peter has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pete Sorensen
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: SORENSEN FLEXIBLE BENEFITS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: EMPLOYEE BENEFITS START DATE: 1989 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: PRESIDENT - MARKETING AND SALES OF EMPLOYEE BENEFITS 3. NAME OF OTHER BUSINESS: SORENSEN FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 1978 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 35 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: PETER SORENSEN INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: PROVIDING NOTARY SERVICES 5. NAME OF OTHER BUSINESS: ADVISOR SQUARE FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY SERVICES / ESTATE & FINANCIAL PLANNING / INSURANCE & INVESTMENT SALES; START DATE: 11/2019; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: CLIENT MARKETING AND SERVICES; 6. NAME OF OTHER BUSINESS: P+P ADVISORS, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICE OF FIXED INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Peter Alan Sorensen'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 9, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 318 Plum Street, Red Wing, MN 55066Office #3: 209 Johnson St, Winona, MN 55987RIA
CRD#: 105644
ESTERO, FL
Current
November 1, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 165 Walnut Street, Winona, MN 55987Office #3: 318 Plum Street, Red Wing, MN 55066BD
CRD#: 13572
ESTERO, FL
Past
November 1, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 2, 2009 - November 12, 2019
OSAIC SERVICES, INC.
RIA
CRD#: 133763
RED WING, MN
Past
October 31, 2005 - November 12, 2019
OSAIC SERVICES, INC.
BD
CRD#: 133763
RED WING, MN
Past
January 23, 2001 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
May 4, 1995 - February 1, 2001
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
February 20, 1990 - May 5, 1995
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
January 19, 1990 - January 24, 1990
KAVANAUGH SECURITIES, INC.
BD
CRD#: 10606
DALLAS, TX
Past
November 19, 1989 - February 8, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 15, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 23, 1986 - July 27, 1987
MORISON SECURITIES, INC.
BD
CRD#: 8097
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
Alabama(11/1/2019)
RR
California(2/17/2021)
RR
Florida(11/1/2019)
IAR
Florida(4/9/2023)
RR
Georgia(10/28/2025)
RR
Illinois(1/7/2020)
RR
Indiana(2/17/2021)
RR
Iowa(11/1/2019)
RR
Louisiana(11/1/2019)
RR
Minnesota(11/1/2019)
IAR
Minnesota(6/29/2023)
RR
Montana(3/8/2023)
RR
North Dakota(11/1/2019)
RR
Oregon(1/7/2020)
RR
South Dakota(11/1/2019)
RR
Texas(11/1/2019)
IAR
Texas(6/29/2023)
RR
Utah(1/4/2024)
RR
Wisconsin(11/1/2019)
Exams
State Security Law Exam
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.
