Richard J. Peck

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CRD#: 2245673

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.

Richard James Peck was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. NAME OF OTHER BUSINESS: REVOCABLE TRUST; INVESTMENT RELATED: NO; ADDRESS: LAS VEGAS, NV; NATURE OF BUSINESS: REVOCABLE TRUST; START DATE: 11/2014; POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: TRUSTEE OF PARENTS TRUST; 2. NAME OF OTHER BUSINESS: VEER TOWER HOA; INVESTMENT RELATED: NO; ADDRESS: 3726 LAS VEGAS BLDB SOUT LAS VEGAS NV 89158; NATURE OF BUSINESS: HOME OWNERS ASSOCIATION; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: MAKES OPERATION DECISIONS FOR HOA;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LAS VEGAS, NV

Past

August 13, 2008 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LAS VEGAS, NV

Past

August 13, 2008 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAS VEGAS, NV

Past

September 29, 2006 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

RIA

CRD#: 14068

RANCHO CORDOVA, CA

Past

September 29, 2006 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

February 2, 2004 - October 18, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

UNIVERSAL CITY, CA

Past

February 2, 2004 - October 18, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

UNIVERSAL CITY, CA

Past

July 8, 1997 - February 11, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BEVERLY HILLS, CA

Past

July 31, 1993 - February 11, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 13, 1992 - July 31, 1993

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1992

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: 7/8/1992

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

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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.

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Advisor Monitoring

Firm Stability Insights

Richard J. Peck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

PENSION PLANNERS SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/1992

Series 63

Date: 7/23/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/8/1992

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

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