Peter C. Gensicke
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.
Peter C Gensicke was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1969. Peter had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 1, Series 27 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2005 - November 9, 2020
CETERA INVESTMENT ADVISERS LLC
October 24, 2005 - November 9, 2020
CETERA FINANCIAL SPECIALISTS LLC
June 14, 2002 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
May 29, 1996 - October 24, 2005
C. J. M. PLANNING CORP.
February 1, 1982 - January 22, 1985
RESRV PARTNERS, INC.
May 5, 1969 - November 30, 1978
MAYFLOWER SECURITIES CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 1
Date: 4/29/1969
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
