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PO

Peter J. Orth

LIBERTY ONE INVESTMENT MANAGEMENT
Wilmington, NC
Some features on this profile are disabled
CRD#: 2176861
PO

Professional summary

Peter John Orth is a registered financial advisor currently at LIBERTY ONE INVESTMENT MANAGEMENT located in Wilmington, North Carolina.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Peter has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Orth'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

October 22, 2019 - Present

LIBERTY ONE INVESTMENT MANAGEMENT

RIA
CRD#: 304290
Wilmington, NC
Past

April 19, 2007 - April 15, 2026

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
Wilmington, NC
Past

April 19, 2007 - April 15, 2026

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Wilmington, NC
Past

October 20, 2005 - January 8, 2007

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
NEW YORK, NY
Past

October 18, 2005 - March 26, 2007

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
LINCONSHIRE, IL
Past

February 11, 2003 - October 19, 2005

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
LINCOLNSHIRE, IL
Past

February 11, 2003 - October 19, 2005

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

August 27, 2002 - February 4, 2003

WS GRIFFITH SECURITIES, INC.

RIA
CRD#: 10410
ROSEMONT, IL
Past

August 14, 2002 - February 4, 2003

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

April 9, 1992 - October 12, 2001

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

October 24, 1991 - March 23, 1992

OAK RIDGE INVESTMENTS, INC.

BD
CRD#: 25544
CHICAGO, IL

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".
LO
LIBERTY ONE INVESTMENT MANAGEMENT
LIBERTY ONE INVESTMENT MANAGEMENT | LIBERTY ONE INVESTMENT MANAGEMENT, LLC

CRD#: 304290 / SEC#: 801-116826

RIA
Registered Investment Advisory firm - (6/21/2019 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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(10/22/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/22/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/3/1991
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: 9/28/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LO
LIBERTY ONE INVESTMENT MANAGEMENT
LIBERTY ONE INVESTMENT MANAGEMENT | LIBERTY ONE INVESTMENT MANAGEMENT, LLC

CRD#: 304290 / SEC#: 801-116826

RIA
Registered Investment Advisory firm - (6/21/2019 Approved)
PREMIUM
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Contact information

Main Address
1509 N. Milwaukee Ave., Libertyville, IL 60048
Mailing Address
Phone number
(847) 680-9255
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (24 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LIBERTY ONE FORM ADV PART 2A BROCHURE (10/15/2025)

Regulatory assets under management

Total Number of Accounts17,279
AUM (Assets Under Management)$ 2,378,579,630

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

LIBERTY ONE INVESTMENT MANAGEMENT

CRD#: 304290Wilmington, NC

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