Peter L. Mooney

ULTRA ADVISORS LLC

Lyndhurst, OH 44124

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CRD#: 2365429

Professional summary

Peter Lawrence Mooney, who also goes by Peter L Mooney, is a registered financial advisor currently at ULTRA ADVISORS LLC located in Lyndhurst, Ohio.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Peter has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter L Mooney

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.

SOURCE CAPITAL LLC; NOT INVESTMENT-RELATED; 2863 CAMELOT COURT, WILLOUGHBY HILLS, OH, 44092; CONSULTING/RENTAL PROPERTY; OWNER; 1/03; 10 HOURS; 4 HOURS; OWNER. CENTURY PLATING INC; NOT INVESTMENT-RELATED; 18006 SOUTH WATERLOO, CLEVELAND, OH, 44119; MANUFACTURING; OWNER; 1/12; 8 HOURS; 0 HOURS; OWNER SOURCE INSURANCE; NOT INVESTMENT-RELATED, 6060 PARKLAND BLVD, SUITE 200; MAYFIELD HEIGHTS, OH, 44124; PRESIDENT; 10/04; 5 HOURS; 5 HOURS; FIXED INSURANCE SALES. FLEXIBLE BENEFITS SYSTEMS, INC., NOT INVESTMENT RELATED, 1540 WEST MARKET STREET, AKRON, OH, 44313, RECORDKEEPING / THIRD PARTY ADMINISTRATION, PRESIDENT, 4/7/15

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Lawrence Mooney'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®

None

Experience

Current

May 27, 2019 - Present

ULTRA ADVISORS LLC

Office #1: 5521 Mayfield Road, Lyndhurst, OH 44124

RIA

CRD#: 301668

Lyndhurst, OH

Past

December 13, 2016 - December 31, 2018

INVERNESS SECURITIES, LLC

CRD#: 129914

Cleveland, OH

Past

May 10, 2007 - March 25, 2019

SAFEGUARD SECURITIES, INC.

RIA

CRD#: 31256

CLEVELAND, OH

Past

May 9, 2007 - October 27, 2017

SAFEGUARD SECURITIES, INC.

CRD#: 31256

CLEVELAND, OH

Past

May 28, 2004 - May 11, 2007

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

BEACHWOOD, OH

Past

May 27, 2004 - May 11, 2007

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BEACHWOOD, OH

Past

September 26, 2003 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

BEACHWOOD, OH

Past

September 3, 2003 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

January 14, 2003 - September 23, 2003

SIMPLY MONEY ADVISORS

RIA

CRD#: 106619

BEACHWOOD, OH

Past

August 21, 2002 - September 10, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 18, 2001 - August 23, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BEACHWOOD, OH

Past

January 7, 1994 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

January 7, 1994 - August 23, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(5/27/2019)

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: 10/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1995

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: 9/9/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/6/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/15/2001

General Securities Principal Examination

Current Firm

ULTRA ADVISORS LLC

CRD#: 301668 / SEC#:

Ohio

Registered Investment Advisory firm - (5/27/2019 Approved)

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Contact information

Main Address

5521 Mayfield Road, Lyndhurst, OH 44124

Mailing Address

Phone number

(216) 906-2929

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 2,322,559

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

Peter L. Mooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Lawrence Mooney's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVERNESS SECURITIES, LLC

SAFEGUARD SECURITIES, INC.

SAFEGUARD SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

SIMPLY MONEY ADVISORS

OSAIC WEALTH, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/1999

Series 63

Date: 6/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1999

Series 6

Date: 1/6/1994

Series 24

Date: 1/15/2001

Current Firm

ULTRA ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ULTRA ADVISORS LLC

TRUST BUT VERIFY

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