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Peggy J. Cozine

CETERA INVESTMENT ADVISERS LLC
CLEARWATER, FL 33761
Some features on this profile are disabled
CRD#: 4498528
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Professional summary

Peggy Jane Cozine, who also goes by P Cozine, Peggy Jacobsen, Peggy Shaver, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clearwater, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Clearwater, Florida.

Peggy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Peggy has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

P Cozine | Peggy Jacobsen | Peggy Shaver

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)ACCOUNTANTS WEALTH NATIONAL GROUP; CLEARWATER, FL; INVESTMENT RELATED; DBA FOR FINANCIAL SERVICES/INVESTMENTS; SINCE 11/2013; 160 HRS/MO 2)ACCOUNTANTS WEALTH NATIONAL TAX SERVICES; CLEARWATER, FL; NON INVESTMENT RELATED; TAX PLANNING AND PREP; ENROLLED AGENT; SINCE 01/2020; 120 HRS/MO 3)RENTAL PROPERTY; NEW PORT RICHIE, FL; NOT INVESTMENT RELATED; OWNER; RENT PROPERTY TO TENANTS; SINCE 01/2010; 4 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peggy Jane Cozine's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 22, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 28050 Us Hwy 19n Ste 300, Clearwater, FL 33761
RIA
CRD#: 105644
CLEARWATER, FL
Current

February 5, 2021 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 28050 Us Hwy 19n Ste 300, Clearwater, FL 33761
BD
CRD#: 10358
Clearwater, FL
Past

July 28, 2014 - February 16, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
CLEARWATER, FL
Past

November 22, 2013 - February 16, 2021

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
CLEARWATER, FL
Past

August 9, 2005 - May 6, 2014

ASSET & FINANCIAL PLANNING, LTD

RIA
CRD#: 110709
CLEARWATER, FL
Past

February 28, 2002 - November 22, 2013

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
CLEARWATER, FL

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
Florida
(2/5/2021)
IAR
Florida
(2/22/2021)
RR
Kentucky
(2/23/2023)
RR
New Jersey
(2/5/2024)
RR
New York
(4/17/2023)
RR
North Carolina
(10/25/2023)
RR
South Carolina
(11/5/2024)
RR
Washington
(8/27/2021)
RR
Wisconsin
(2/5/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/25/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/27/2002
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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 INVESTMENT ADVISERS LLC

CRD#: 105644Clearwater, FL 33761

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