Peter F. Pabon

CETERA INVESTMENT ADVISERS LLC

WALL, NJ 07719

Some features on this profile are disabled

CRD#: 1882148

Professional summary

Peter Francis Pabon, CFP®, who also goes by Peter Francis P, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wall, New Jersey and CETERA ADVISORS LLC located in Wall, New Jersey.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Peter has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Francis P

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: SAFE HARBOR FINANCIAL LLC; INVESTMENT RELATED: YES; ADDRESS: 1540 HIGHWAY 138 SUITE 303, WALL, NJ 07719; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Francis Pabon'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1540 Highway 138 Ste 303, Wall, NJ 07719

RIA

CRD#: 105644

WALL, NJ

Current

October 24, 2018 - Present

CETERA ADVISORS LLC

Office #1: 1540 Highway 138 Ste 303, Wall, NJ 07719

CRD#: 10299

Wall, NJ

Past

October 26, 2018 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

March 31, 2015 - October 29, 2018

CAPITAL ANALYSTS

RIA

CRD#: 162200

MARLTON, NJ

Past

March 27, 2009 - October 29, 2018

LINCOLN INVESTMENT

RIA

CRD#: 519

MARLTON, NJ

Past

March 27, 2009 - October 29, 2018

LINCOLN INVESTMENT

CRD#: 519

MARLTON, NJ

Past

April 20, 2004 - March 30, 2009

OSAIC FA, INC.

RIA

CRD#: 3978

EDISON, NJ

Past

December 15, 2003 - April 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 15, 2003 - March 30, 2009

OSAIC FA, INC.

CRD#: 3978

EDISON, NJ

Past

July 31, 2002 - December 8, 2003

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

TINTON FALLS, NJ

Past

February 12, 1990 - December 8, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 12, 1990 - December 8, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

October 19, 1988 - January 8, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Delaware
(10/24/2018)

District of Columbia
(10/24/2018)

Florida
(10/24/2018)

Kentucky
(9/22/2020)

Massachusetts
(11/29/2023)

Michigan
(2/21/2023)

Nevada
(3/31/2023)

New Jersey
(10/24/2018)

IAR

New Jersey
(3/21/2024)

New York
(10/24/2018)

Pennsylvania
(10/24/2018)

South Carolina
(11/20/2018)

Vermont
(11/7/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/24/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Similar Advisors

Glenn Blachman

SUMMIT FINANCIAL, LLC

IAR

TOMS RIVER, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter F. Pabon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Francis Pabon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/1988

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors