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PS

Peter A. Schaffer

CETERA INVESTMENT SERVICES LLC
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 2156199
PS

Professional summary

Peter Andrew Schaffer, who also goes by Peter Andrew Schaffer, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1993. Peter has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter Andrew Schaffer

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Andrew Schaffer'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®
None

Experience

Current

March 23, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 15340
El Segundo, CA
Current

March 23, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
EL SEGUNDO, CA
Current

March 23, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10358
El Segundo, CA
Current

March 23, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245
BD
CRD#: 10299
El Segundo, CA
Past

May 9, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

June 21, 2016 - March 26, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

December 4, 2013 - June 7, 2016

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

March 1, 2012 - December 2, 2013

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

BD
CRD#: 329
SEATTLE, WA
Past

August 12, 2011 - June 1, 2012

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

October 20, 2004 - July 11, 2011

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

December 7, 2000 - December 31, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

February 25, 2000 - October 23, 2000

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

September 11, 1995 - January 5, 2000

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

June 7, 1993 - September 7, 1995

PHOENIX SECURITIES, INC.

BD
CRD#: 10507
SAN RAFAEL, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(9/5/2025)
RR
Texas
(9/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 6/4/1993
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/8/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
VOGEL, RICHARD CHARLESVICE PRESIDENT4024999

Regulatory assets under management

Total Number of Accounts81,652
AUM (Assets Under Management)$ 21,989,347,265

Disclosures

Regulatory Event15
Civil Event1
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2023
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.

Company Information

CETERA ADVISORS LLC

CRD#: 10299El Segundo, CA 90245

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