Peter K. Rhee

CETERA INVESTMENT ADVISERS LLC

FRANKFORT, IL

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CRD#: 2326728

Professional summary

Peter Kyung Hoon Rhee, who also goes by Peter Kyung Moon Rhee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Frankfort, Illinois and CETERA ADVISORS LLC located in Frankfort, Illinois.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Peter has worked at 12 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Kyung Moon Rhee

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. MOSAIC PRIVATE WEALTH; DBA; STARTED 06/2015; SOLE PROPRIETOR; 160 HOURS/ MONTH 2. INSURANCE; FIXED INSURANCE; STARTED 01/01/2002; INDEPENDENT CONTRACTOR; PART TIME; 8 HOURS/MONTH. 3. PETER RHEE; CONSULTANT; CONSULTING; START DATE: 03/18/2016; 12 HOURS PER MONTH. 4. PKR INC.; OWNER; RETAIL SALES/STORE; START DATE: 01/01/2020; 8 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Kyung Hoon Rhee'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FRANKFORT, IL

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

CRD#: 10299

FRANKFORT, IL

Past

June 12, 2015 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

FRANKFORT, IL

Past

June 12, 2015 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

FRANKFORT, IL

Past

January 4, 2010 - July 8, 2015

IPI WEALTH MANAGEMENT, INC.

RIA

CRD#: 111872

FRANKFORT, IL

Past

January 4, 2010 - July 8, 2015

INVESTMENT PLANNERS, INC.

CRD#: 18557

FRANKFORT, IL

Past

January 1, 2008 - January 14, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PALOS HEIGHTS, IL

Past

January 1, 2008 - January 14, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PALOS HEIGHTS, IL

Past

April 25, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

ORLAND PARK, IL

Past

April 11, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

ORLAND PARK, IL

Past

November 5, 2002 - June 3, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHICAGO, IL

Past

May 2, 2002 - June 3, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 21, 2000 - October 16, 2001

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

January 23, 1997 - October 12, 1998

LFG, L.L.C.

CRD#: 37905

CHICAGO, IL

Past

September 5, 1995 - January 15, 1996

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(9/8/2022)

California
(9/8/2022)

Florida
(9/8/2022)

IAR

Illinois
(11/12/2020)

Illinois
(9/8/2022)

Indiana
(6/20/2024)

Minnesota
(3/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/24/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/22/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/19/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/10/2006

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/19/1993

National Commodity Futures Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Peter K. Rhee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Kyung Hoon Rhee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

IPI WEALTH MANAGEMENT, INC.

INVESTMENT PLANNERS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

REFCO SECURITIES, LLC

LFG, L.L.C.

AMERICAN INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2006

Series 63

Date: 8/22/2002

Series 65

Date: 7/19/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/10/2006

Series 3

Date: 2/19/1993

FINRA

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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