Robert A. Peck
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.
Robert Allen Peck, who also goes by Bob Peck, Robert Peck, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1988. Robert had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2008 - April 9, 2008
LPL FINANCIAL LLC
August 10, 2005 - March 4, 2008
IFMG SECURITIES, INC.
June 29, 2004 - August 8, 2005
TRUIST INVESTMENT SERVICES, INC.
February 21, 2002 - June 16, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 15, 2002 - June 16, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 1, 1998 - February 20, 2002
WAMU INVESTMENTS, INC.
February 4, 1992 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
May 16, 1991 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 9, 1991 - February 11, 1991
FIRST MONTAUK SECURITIES CORP.
March 27, 1990 - October 1, 1990
MORGAN STANLEY DW INC.
May 4, 1989 - March 26, 1990
SSI SECURITIES CORP.
January 17, 1989 - February 11, 1991
FIRST MONTAUK SECURITIES CORP.
January 9, 1989 - May 9, 1989
J. B. HANAUER & CO.
December 20, 1988 - January 7, 1989
GUARDIAN INTERNATIONAL SECURITIES CORP.
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
