PR
Peter T. Roe
CETERA INVESTMENT ADVISERS LLC
ASHEVILLE, NC
Some features on this profile are disabled
CRD#: 2255241
PR
Professional summary
Peter Tomlinson Roe JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Asheville, North Carolina and CETERA ADVISORS LLC located in Asheville, North Carolina.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 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.
1. B & R FINANCIAL LLC, NOT INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, LLC FOR BUSINESS EXPENSES, START JANUARY 2005, 2 HOURS PER WEEK - VARIES DURING TRADING HOURS, CO-OWNER/MANAGER. 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START FEBRUARY 2015, 5 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE AND DISABILITY. 3. TITULAR HEAD LLC, NOT INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, VACATION PROPERTY IN UPSTATE NEW YORK, START DECEMBER 2014, 1 HOUR PER WEEK - NOT DURING TRADING HOURS, CO-OWNER WITH SIBLINGS. 4. HUFFMAN AND ASSOCIATES, INVESTMENT RELATED, 2300 NORTH ORANGE AVENUE, ORLANDO, FL 32804, LIFE INSURANCE, START JANUARY 2005, 3 HOURS PER WEEK - VARIES DURING TRADING HOURS, LIFE INSURANCE AGENT. 5. NAME OF OTHER BUSINESS: AGENT FOR JASON BELL ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: MARKETING ; START DATE: 09/2019 ; POSITION/TITLE/RELATIONSHIP: AGENT ; APX # OF HRS PER WEEK: 1 ; APX # OF HRS DURING TRADING HRS: 1 ; BRIEF DESCRIPTION OF DUTIES: NEGOTIATE MARKETING INCOME OPPORTUNITIES FOR JASON BELL 6. NAME OF OTHER BUSINESS: CAMP GRIER; INVESTMENT RELATED: NO; ADDRESS: 985 CAMP GRIER RD, OLD FORT, NC 28762; NATURE OF BUSINESS: BOARD; START DATE: 9/2021; POSITION/TITLE/RELATIONSHIP: BOARD CHAIR APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF THE CAMP GRIER BOARD; 7. NAME OF OTHER BUSINESS: COMMUNITY LAND TRUST OF WESTERN NORTH CAROLINA; INVESTMENT RELATED: NO; ADDRESS: 37 E MAIN ST, OLD FORT, NC 28762; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE EXECUTIVE DIRECTOR IN HIS ROLE OF BUILDING AFFORDABLE HOUSING IN WESTERN NC;
CRS (Client Relationship Summary) - RIA
Click below to view Peter Tomlinson Roe JR's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ASHEVILLE, NC
Current
February 13, 2015 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Asheville, NC
Past
February 13, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Candler, NC
Past
July 15, 2011 - March 17, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
ASHEVILLE, NC
Past
July 15, 2011 - March 17, 2015
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
CHARLOTTE, NC
Past
January 27, 2010 - March 28, 2012
CIRCLE ONE WEALTH MANAGEMENT, LLC
RIA
CRD#: 152626
MOUNT PLEASANT, SC
Past
July 17, 2009 - December 31, 2010
TRITON FINANCIAL, LLC
RIA
CRD#: 139532
AUSTIN, TX
Past
July 2, 2009 - July 15, 2011
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
January 3, 2007 - July 6, 2009
CETERA ADVISORS LLC
RIA
CRD#: 10299
ALTAMONTE SPRINGS, FL
Past
November 3, 2005 - December 31, 2006
HORIZON FINANCIAL GROUP,LLC
RIA
CRD#: 119618
MOORESVILLE, NC
Past
September 30, 2005 - July 6, 2009
CETERA ADVISORS LLC
BD
CRD#: 10299
ALTAMONTE SPRINGS, FL
Past
February 14, 1995 - October 4, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
HUNTERVILLE, NC
Past
February 7, 1995 - October 4, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 2, 1992 - February 3, 1995
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Alabama(6/10/2016)
RR
Arizona(2/13/2015)
RR
California(2/13/2015)
RR
Florida(2/13/2015)
RR
Georgia(3/2/2023)
RR
Iowa(2/13/2015)
RR
Maine(1/16/2025)
RR
Missouri(5/11/2015)
RR
Nevada(10/6/2025)
RR
New Jersey(2/13/2015)
RR
New York(3/20/2015)
RR
North Carolina(2/13/2015)
IAR
North Carolina(3/21/2024)
RR
Rhode Island(8/6/2024)
RR
South Carolina(6/21/2021)
RR
Texas(2/13/2015)
IAR
Texas(3/21/2024)
RR
Virginia(2/7/2024)
RR
Washington(5/7/2024)
RR
Wisconsin(5/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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)
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.
