John P. Peyton
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.
John Peter Peyton, who also goes by Pete Peyton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 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
September 23, 2020 - February 15, 2022
CETERA INVESTMENT ADVISERS LLC
May 15, 2019 - February 15, 2022
CETERA INVESTMENT SERVICES LLC
February 20, 2013 - November 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2013 - November 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - August 30, 2005
WELLS FARGO SECURITIES, LLC
October 15, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1999 - October 15, 2001
WACHOVIA SECURITIES, INC.
February 19, 1999 - April 1, 1999
WACHOVIA CAPITAL MARKETS, INC.
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
Series 7TO
Date: 5/15/2019
General Securities Representative ExaminationCurrent 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.
