Richard D. Peck
Professional summary
Richard David Peck, who also goes by Richard D Peck, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winston Salem, North Carolina and CETERA ADVISORS LLC located in Winston Salem, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Richard has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard David Peck's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
February 17, 2015 - Present
CETERA ADVISORS LLC
February 18, 2015 - March 21, 2024
CETERA ADVISORS LLC
August 16, 2011 - March 19, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
July 25, 2011 - March 17, 2015
CAPITAL GUARDIAN, LLC
March 22, 2010 - March 28, 2012
CIRCLE ONE WEALTH MANAGEMENT, LLC
April 25, 2008 - February 2, 2010
CETERA ADVISORS LLC
April 21, 2008 - February 2, 2010
CETERA ADVISORS LLC
April 21, 2005 - July 21, 2008
RICHARD D. PECK & ASSOCIATES, LLC
March 25, 2004 - April 7, 2008
ENSEMBLE FINANCIAL SERVICES, INC.
February 29, 2000 - November 19, 2002
WALL STREET FINANCIAL GROUP, INC.
September 4, 1998 - July 1, 1999
KEYBANC CAPITAL MARKETS INC.
May 16, 1989 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
September 17, 1985 - May 26, 1989
ADVEST, INC.
June 28, 1973 - October 21, 1985
E. F. HUTTON & COMPANY INC
July 24, 1970 - July 13, 1973
F I DUPONT GLORE FORGAN & CO
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
(7/9/2025)
(2/17/2015)
(3/7/2024)
(2/17/2015)
(2/17/2015)
(2/17/2015)
(3/21/2024)
(2/17/2015)
(5/1/2023)
(7/9/2025)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/20/1986
AMEX Put and Call ExamSeries 1
Date: 7/22/1963
Registered Representative ExaminationSeries 00
Date: 6/14/1967
General Securities Principal ExaminationFINRA
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.
