PS
Peter D. Simon
CETERA INVESTMENT ADVISERS LLC
BEAUMONT, TX 77703-1896
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CRD#: 6750573
PS
Professional summary
Peter Darnell Simon, who also goes by Peter D Simon, Peter Simon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Beaumont, Texas and CETERA WEALTH SERVICES, LLC located in Beaumont, Texas.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Peter has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter D Simon | Peter Simon
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) PETER D SIMON LLC POSITION: Managing Member NATURE: It is an LLC that I formed over 10 years ago. It has no activity. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2011; 1425 Futura Street, Beaumont TX 77706, I have no duties as this is an inactive entity 2) SOUTHEAST TEXAS CHAPTER OF TEXAS SOCIETY OF CPAS POSITION: Board Member; Secretary NATURE: Southeast Texas Chapter of Texas Society of CPA's is the local chapter affiliate of the Texas Society of CPA's. It is a member organization of CPA's. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2022; 14651 Dallas Pkwy, Dallas TX 75254, The secretary shall issue notices of all meetings of the Chapter, keep a record of all acts or proceedings of the officers, Board, and membership, The secretary shall keep a register of the members of the chapter. shall exercise control over the Chapter's monies and properties; shall prepare and approve a budget. 3) BEAUMONT PUBLIC SCHOOL FOUNDATION POSITION: Board Member NATURE: The BPSF primarily gives grants to staff and students for innovative classroom projects. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2019; 3395 Harrison Ave, Beaumont TX 77706, Attend meeting. Publicize/Promote. Participation/Involvement. Lend personal leadership. Support of the Beaumont Independent School District. 4) EDGAR, KIKER & CROSS PC POSITION: CPA/Shareholder NATURE: We provide bookkeeping, tax planning & preparation for individuals and corporations as well as advisory services and business succession planning INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/22/2014 ADDRESS: 3440 Eastex Freeway, Beaumont TX 777031896, United States DESCRIPTION: Prepare tax returns Review tax returns Prepare Financial statements Business Consulting Train staff 5) EASTEX PLAZA, INC. POSITION: Shareholder NATURE: Eastex Plaza, Inc. is an entity that holds real estate (land and a building). It rents the building to Edgar, Kiker & Cross, PC. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023 ADDRESS: 3440 Eastex Freeway, Beaumont TX 77703, United States DESCRIPTION: I am currently a director. My current duties are to attend annual meetings and special meetings, when called. 6) EKC ADVISORS PLLC POSITION: Affiliated Advisor NATURE: Financial services INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 03/01/2023 ADDRESS: 3440 Eastex Freeway, Beaumont TX 777031896, United States DESCRIPTION: Affiliated advisor assisting clients in achieving their financial goals.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Darnell Simon'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3440 Eastex Freeway, Beaumont, TX 77703-1896RIA
CRD#: 105644
BEAUMONT, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3440 Eastex Freeway, Beaumont, TX 77703-1896BD
CRD#: 13572
BEAUMONT, TX
Past
December 16, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Beaumont, TX
Past
October 25, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BEAUMONT, TX
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
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2022
General Securities Representative ExaminationGeneral Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Beaumont, TX 77703-1896TRUST BUT VERIFY
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