PM
Peter A. Maddox
CETERA WEALTH SERVICES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 4304442
PM
Professional summary
Peter Anthony Maddox, who also goes by Peteranthony Maddox, Peter Anthony Maddox, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2004. Peter has worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peteranthony Maddox | Peter Anthony Maddox
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Peter Anthony Maddox'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®
NoneExperience
Current
February 26, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 Ne Mizner Blvd Ste 550, Boca Raton, FL 33432BD
CRD#: 13572
Boca Raton, FL
Current
April 1, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
April 1, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10358
El Segundo, CA
Current
April 1, 2022 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Past
March 5, 2020 - August 17, 2020
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
January 19, 2016 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
Boca Raton, FL
Past
May 30, 2008 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
November 2, 2006 - February 15, 2008
CAPITAL GROWTH FINANCIAL, LLC
BD
CRD#: 41040
BOCA RATON, FL
Past
January 6, 2006 - July 26, 2006
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
TAMPA, FL
Past
November 11, 2004 - July 12, 2005
REID & RUDIGER LLC
BD
CRD#: 47263
NEW YORK, NY
Past
May 26, 2004 - August 17, 2004
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
April 6, 2004 - May 10, 2004
GMS GROUP
BD
CRD#: 8000
EAST HANOVER, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/4/2019)
RR
Alaska(10/9/2019)
RR
Arizona(10/3/2019)
RR
Arkansas(10/23/2019)
RR
California(8/13/2019)
RR
Colorado(10/23/2019)
RR
Connecticut(10/3/2019)
RR
Delaware(10/10/2019)
RR
District of Columbia(10/9/2019)
RR
Florida(9/18/2019)
RR
Georgia(10/10/2019)
RR
Hawaii(10/4/2019)
RR
Idaho(10/3/2019)
RR
Illinois(10/22/2019)
RR
Indiana(10/3/2019)
RR
Iowa(10/3/2019)
RR
Kansas(10/7/2019)
RR
Kentucky(10/3/2019)
RR
Louisiana(10/3/2019)
RR
Maine(10/4/2019)
RR
Maryland(10/8/2019)
RR
Massachusetts(10/24/2019)
RR
Michigan(10/7/2019)
RR
Minnesota(10/4/2019)
RR
Mississippi(10/7/2019)
RR
Missouri(10/9/2019)
RR
Montana(10/4/2019)
RR
Nebraska(10/3/2019)
RR
Nevada(1/31/2020)
RR
New Hampshire(10/7/2019)
RR
New Jersey(10/7/2019)
RR
New Mexico(10/4/2019)
RR
New York(10/4/2019)
RR
North Carolina(10/4/2019)
RR
North Dakota(10/7/2019)
RR
Ohio(10/3/2019)
RR
Oklahoma(10/3/2019)
RR
Oregon(10/23/2019)
RR
Pennsylvania(10/4/2019)
RR
Rhode Island(10/7/2019)
RR
South Carolina(10/4/2019)
RR
South Dakota(10/9/2019)
RR
Tennessee(10/4/2019)
RR
Texas(10/3/2019)
RR
Utah(10/3/2019)
RR
Vermont(10/3/2019)
RR
Virginia(10/3/2019)
RR
Washington(10/3/2019)
RR
West Virginia(10/15/2019)
RR
Wisconsin(10/8/2019)
RR
Wyoming(10/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/13/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
Company Information
CETERA ADVISORS LLC
CRD#: 10299Boca Raton, FL 33432TRUST BUT VERIFY
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