RP
Randal C. Peters
CETERA INVESTMENT ADVISERS LLC
BANGOR, ME 04401
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CRD#: 2288372
RP
Professional summary
Randal Craig Peters, ChFC®, CLU®, who also goes by Randy Peters, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bangor, Maine and CETERA WEALTH SERVICES, LLC located in Bangor, Maine.
Randal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Randal has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Peters
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) R.C. Peters, CPA~67 Pine Street, Suite 2~Bangor~ME~04401~Independent Insurance Agent~Insurance Sales Agent~1/7/1999~5hrs~5hrs~Sales of individual life insurance and annuity products 2) R. C. Peters, CPA Tax & Financial Services, Inc.~67 Pine Street, Suite 2~Bangor~ME~04401~Accounting Services/Tax Preparation~Owner~1/5/2010~105hrs~70hrs~Paid Preparer and Accountant 3) R. C. PETERS, CPA TAX & FINANCIAL SERVICES, INC. POSITION: President NATURE: Corporation is open for two more years to collect fees (capital gains to the corporation) from accountants who have purchased my list of accounting clients. No longer actively providing tax preparation or accounting services. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/05/2010 ADDRESS: 67 Pine Street, Suite 2, Bangor ME 04401, United States DESCRIPTION: President of inactive corporation - only to collect fees (capital gains to the corporation) from sale of tax clients to two other preparers for 2025 and 2026.
CRS (Client Relationship Summary) - RIA
Click below to view Randal Craig Peters'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®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 163 A State St., Bangor, ME 04401RIA
CRD#: 105644
BANGOR, ME
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 67 Pine Street Suite 2, Bangor, ME 04401BD
CRD#: 13572
BANGOR, ME
Past
January 22, 2003 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
BANGOR, ME
Past
January 12, 1999 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BANGOR, ME
Past
November 7, 1994 - December 9, 1998
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
February 17, 1993 - November 4, 1994
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Indiana(9/5/2025)
RR
Maine(9/5/2025)
IAR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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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)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Bangor, ME 04401TRUST BUT VERIFY
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