Jeffrey C. Peterson
CETERA INVESTMENT ADVISERS LLC
Phoenix, AZ 85014
Some features on this profile are disabled
CRD#: 2508466
Professional summary
Jeffrey Clark Peterson, CFP®, who also goes by Jeffrey C Peterson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA WEALTH SERVICES, LLC located in Phoenix, Arizona.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey C Peterson
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) (dba) FPU INC; Investment Related; 4545 N 12th Street, Phoenix, AZ 85014; Insurance Agent/Tax Preparer/Advisor; Start Date 03/1994; 10 hours per month; Insurance sales of life, disability and annuities, tax prep and planning, meet with clients to review estate planning, and work with an attorney firm for legal documents. >> 2) NOTARY SERVICES; Investment Related; 4545 N 12th Street, Phoenix, AZ 85014; Other; Notary; Start Date 10/2000; One hour per month with that one hour per month occurring during trading hours; Provide notary services as a non-fee courtesy to existing clients as/when needed. >> 3) 4545 12TH ST LLC; Investment Related; 4545 N 12th Street, Phoenix, AZ 85014; Real Estate; Co-owner; Start Date 10/2021; 1 hour per month with no hours per month occurring during trading hours; Co-own this rental office property with my spouse. 4) NAME OF OTHER BUSINESS: FINANCIAL PLANNING UNLIMITED, INC. ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/1994; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND TAX PLANNING AND PREPARATION;
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Clark Peterson'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®
CFP®
Start date: 1998
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4545 N 12th Street, Phoenix, AZ 85014RIA
CRD#: 105644
Phoenix, AZ
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4545 N 12th Street, Phoenix, AZ 85014BD
CRD#: 13572
Phoenix, AZ
Past
February 13, 2006 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Phoenix, AZ
Past
August 31, 1994 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Phoenix, AZ
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
Arizona(2/20/2025)
IAR
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
Michigan(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Mexico(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oklahoma(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
South Carolina(3/13/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/26/2025)
RR
Utah(2/20/2025)
RR
Washington(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
