Peter G. Dao
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Giahao Dao, CFP®, who also goes by Peter Giahao Dao, Peter G Dao, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1998. Peter had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2022 - February 2, 2024
CETERA INVESTMENT ADVISERS LLC
August 23, 2022 - February 2, 2024
CETERA INVESTMENT SERVICES LLC
February 17, 2021 - July 13, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 17, 2021 - July 13, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 7, 2019 - December 17, 2019
PRUCO SECURITIES, LLC.
February 27, 2019 - December 17, 2019
PRUCO SECURITIES, LLC.
October 27, 2017 - March 5, 2019
EQUITABLE ADVISORS, LLC
October 27, 2017 - March 5, 2019
EQUITABLE ADVISORS, LLC
October 8, 2013 - November 10, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 8, 2013 - November 10, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 12, 2012 - July 29, 2013
STRATEGIC ADVISERS LLC
November 16, 2012 - July 29, 2013
FIDELITY BROKERAGE SERVICES LLC
July 29, 2011 - November 14, 2012
HSBC SECURITIES (USA) INC.
July 29, 2011 - November 14, 2012
HSBC SECURITIES (USA) INC.
August 28, 2008 - May 11, 2010
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 19, 2008 - August 1, 2008
LENOX ADVISORS, INC.
November 5, 2003 - March 10, 2008
ASCENSUS BROKER DEALER SERVICES, LLC
December 6, 2001 - October 8, 2003
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 20, 1999 - May 3, 2001
BNY MELLON SECURITIES CORPORATION
July 28, 1998 - July 19, 1999
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
