Brooke S. Petersen

CONRAD SIEGEL INVESTMENT ADVISORS

LANCASTER, PA 17601

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CRD#: 5764068

Professional summary

Brooke S Petersen, CFP®, who also goes by Brooke Spindt Petersen, is a registered financial advisor currently at CONRAD SIEGEL INVESTMENT ADVISORS located in Lancaster, Pennsylvania.

Brooke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Brooke has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Investment Planning

Retirement Planning

Do you have an area of expertise or specialization?

Business Owners

Cash Flow/Budgets/Credit Issue...

Corporate Executives

Financial Psychology/Coaching

High Net Worth Client Needs

Hourly

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Brooke Spindt Petersen

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke S Petersen'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

Start date: 2018

Experience

Current

September 16, 2016 - Present

CONRAD SIEGEL INVESTMENT ADVISORS

Office #1: 201 granite run dr Suite 130, Lancaster, PA 17601

RIA

CRD#: 123560

LANCASTER, PA

Past

March 30, 2010 - July 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

YORK, PA

Past

March 5, 2010 - July 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

YORK, PA

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".

CONRAD SIEGEL INVESTMENT ADVISORS

CMS INVESTMENT ADVISORS INC. | CONRAD SIEGEL INVESTMENT ADVISORS, INC. | CONRAD SIEGEL INVESTMENT ADVISORS | CMS INVESTMENT ADVISORS, INC.

CRD#: 123560 / SEC#: 801-62505

RIA

Registered Investment Advisory firm - (11/14/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(9/16/2016)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/26/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2010

General Securities Representative Examination

Current Firm

CONRAD SIEGEL INVESTMENT ADVISORS

CMS INVESTMENT ADVISORS INC. | CONRAD SIEGEL INVESTMENT ADVISORS, INC. | CONRAD SIEGEL INVESTMENT ADVISORS | CMS INVESTMENT ADVISORS, INC.

CRD#: 123560 / SEC#: 801-62505

RIA

Registered Investment Advisory firm - (11/14/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2003 Terminated)

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Contact information

Main Address

501 Corporate Circle, Harrisburg, PA 17110

Mailing Address

Phone number

(717) 652-5633

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR CONRAD SIEGEL INVESTMENT ADVISORS, INC. (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,085
AUM (Assets Under Management)	$ 10,118,593,493

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.

Contact information

(xxx) xxx-xxxx

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Brooke S. Petersen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke S Petersen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONRAD SIEGEL INVESTMENT ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CONRAD SIEGEL INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/26/2010

SIE

Date: 7/23/2016

Series 7

Date: 3/4/2010

Current Firm

CONRAD SIEGEL INVESTMENT ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONRAD SIEGEL INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

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