PH
Peter C. Han
CETERA INVESTMENT ADVISERS LLC
PASADENA, CA 91101
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CRD#: 4704497
PH
Professional summary
Peter C Han is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA ADVISORS LLC located in Pasadena, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Peter has worked at 5 firms and has passed the Series 66, Series 99TO, 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. HARVEST FINANCIAL SERVICES,LLC 9960 BALDWIN PLACE, EL MONTE, CA 91731, FINANCIAL SERVICES, MANAGING DIRECTOR, START DATE 1/2004, 10 HOURS PER MONTH DBA; 2. HARVEST FINANCIAL; INSTRUCTOR; EDUCATION; START DATE 2/26/2014; 24 HOURS PER MONTH; 3. THE ANNUITY STORE, LLC; AGENT; INSURANCE; START DATE 06/13/2018; 8 HOURS PER MONTH; 4. NAME OF OTHER BUSINESS: ABBA AND SONS CUSTOM MILLWORKS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: SAW MILLING; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PASSIVE OWNER; 5. NAME OF OTHER BUSINESS: HARVEST NATURAL LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: AGRICULTURAL PRODUCTS; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: PASSIVE OWNER;
CRS (Client Relationship Summary) - RIA
Click below to view Peter C Han'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 199 S Los Robles Ave Suite 230, Pasadena, CA 91101Office #2: 9431 Haven Avenue Ste#118, Rancho Cucamonga, CA 91730Office #3: 555 North Point Center East 4th Floor, Alpharetta, GA, 30022RIA
CRD#: 105644
PASADENA, CA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 199 S Los Robles Ave Suite 230, Pasadena, CA 91101Office #2: 9431 Haven Avenue Suite 118, Rancho Cucamonga, CA 91730Office #3: 555 North Point Center East 4th Floor,, Alpharetta, GA, 30002BD
CRD#: 10299
PASADENA, CA
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
PASADENA, CA
Past
August 17, 2007 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
PASADENA, CA
Past
August 15, 2007 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
PASADENA, CA
Past
October 31, 2003 - September 10, 2007
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
LOS ANGELES, CA
Past
October 14, 2003 - September 10, 2007
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
LOS ANGELES, CA
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
Alaska(9/8/2022)
RR
Arizona(9/8/2022)
IAR
California(11/12/2020)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
District of Columbia(9/8/2022)
RR
Florida(9/8/2022)
IAR
Georgia(9/9/2021)
RR
Georgia(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(9/8/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Missouri(9/8/2022)
RR
Nevada(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Tennessee(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/3/2022)
RR
Utah(9/8/2022)
RR
Washington(9/8/2022)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
