Peter J. Tartaro

CETERA INVESTMENT ADVISERS LLC

ST PAUL, MN 55101

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CRD#: 4614795

Professional summary

Peter Jonathan Tartaro, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Paul, Minnesota and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Peter has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. KNIGHTS OF COLUMBUS POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2012 ADDRESS: , Bloomington MN , United States DESCRIPTION: Director; 2. NAME OF OTHER BUSINESS: TOASTMASTERS INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: 9127 S. JAMAICA ST, STE 400, ENGLEWOOD, CO 80112; NATURE OF BUSINESS: BOARD; START DATE: 7/2024; POSITION/TITLE/RELATIONSHIP: TREASURER & VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, MANAGE CLUB EXPENSES & COORDINATE PAYING DUES TO ORGANIZATION;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Jonathan Tartaro'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®

CFP^®

Certified Financial Planner

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 400 Robert St N Ste 800, St Paul, MN 55101

RIA

CRD#: 105644

ST PAUL, MN

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Past

May 17, 2018 - November 8, 2021

CRI SECURITIES, LLC

RIA

CRD#: 22589

ST PAUL, MN

Past

May 17, 2018 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST PAUL, MN

Past

May 17, 2018 - November 8, 2021

CRI SECURITIES, LLC

CRD#: 22589

ST PAUL, MN

Past

May 17, 2018 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

March 25, 2013 - April 6, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Minneapolis, MN

Past

April 26, 2011 - December 31, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Minneapolis, MN

Past

April 26, 2011 - April 6, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

Past

June 2, 2010 - April 18, 2011

OSAIC FA, INC.

RIA

CRD#: 3978

EDINA, MN

Past

June 2, 2010 - April 18, 2011

OSAIC FA, INC.

CRD#: 3978

EDINA, MN

Past

May 11, 2009 - April 22, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

BLOOMINGTON, MN

Past

May 6, 2009 - April 22, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

BLOOMINGTON, MN

Past

September 21, 2007 - March 5, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Minnesota
(8/10/2023)

IAR

Minnesota
(8/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	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.

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Peter J. Tartaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Jonathan Tartaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

OSAIC FA, INC.

OSAIC FA, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2007

Series 24

Date: 6/7/2010

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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