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Peter T. Mooney

Some features on this profile are disabled
CRD#: 848627
PM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peter Thomas Mooney, CFP®, who also goes by Peter T Mooney, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1978. Peter had worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter T Mooney

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.
NAME OF BUSINESS: MOONEY FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS BRANCH OFFICE NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: INDEPENDENT INSURANCE AGENT START DATE: 1/1/2001 # HOURS SPENT ON THIS ACTIVITY / MONTH: 2 # HOURS SPENT ON THIS ACTIVITY DURING TRADING HOURS (IF DIFFERENT): DESCRIPTION OF DUTIES: SELLS AND SERVICES LIFE INSURANCE, FIXED ANNUITIES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 21, 2006 - January 15, 2026

COORDINATED CAPITAL SECURITIES, INC.

RIA
CRD#: 14762
MELBOURNE, FL
Past

August 21, 2006 - January 15, 2026

COORDINATED CAPITAL SECURITIES, INC.

BD
CRD#: 14762
MELBOURNE, FL
Past

January 21, 2003 - September 5, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
MELBOURNE, FL
Past

November 29, 2002 - September 5, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
MELBOURNE, FL
Past

December 12, 2000 - December 4, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
MELBOURNE, FL
Past

December 12, 2000 - December 4, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 7, 1997 - December 13, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 7, 1997 - December 13, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

February 3, 1978 - October 31, 1996

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

February 3, 1978 - October 31, 1996

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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".
CC
COORDINATED CAPITAL SECURITIES, INC.
CCS OF WI | COORDINATED CAPITAL SECURITIES,INC. | COORDINATED CAPITAL SECURITIES, INC. | COORDINATED CAPITAL SECURITIES OF WISCONSIN, INC. | COORDINATED CAPITAL SECURITIES OF WI INC. | COORDINATED CAPITAL ADVISORY, A DIVISION OF COORDINATED CAPITAL SECURITIES, INC. | COLTRANE SECURITIES, A DIVISION OF COORDINATED CAPITAL SECURITI

CRD#: 14762 / SEC#: 801-111070, 8-31173

RIA
Registered Investment Advisory firm - SEC (8/31/2017 Approved)
California
Registered Investment Advisory firm - SEC (10/8/2017 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/12/2017 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)
Florida
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Georgia
Registered Investment Advisory firm - SEC (9/18/2017 Terminated)
Iowa
Registered Investment Advisory firm - SEC (1/16/2004 Terminated)
Kansas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (9/11/2017 Terminated)
Maryland
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)
Missouri
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (9/6/2017 Terminated)
Ohio
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/7/2017 Terminated)
Texas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Virginia
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)
Washington
Registered Investment Advisory firm - SEC (10/23/2007 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/29/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/28/1978
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2001
General Securities Principal Examination

Current Firm

CC
COORDINATED CAPITAL SECURITIES, INC.
CCS OF WI | COORDINATED CAPITAL SECURITIES,INC. | COORDINATED CAPITAL SECURITIES, INC. | COORDINATED CAPITAL SECURITIES OF WISCONSIN, INC. | COORDINATED CAPITAL SECURITIES OF WI INC. | COORDINATED CAPITAL ADVISORY, A DIVISION OF COORDINATED CAPITAL SECURITIES, INC. | COLTRANE SECURITIES, A DIVISION OF COORDINATED CAPITAL SECURITI

CRD#: 14762 / SEC#: 801-111070, 8-31173

RIA
Registered Investment Advisory firm - SEC (8/31/2017 Approved)
California
Registered Investment Advisory firm - SEC (10/8/2017 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/12/2017 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)
Florida
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Georgia
Registered Investment Advisory firm - SEC (9/18/2017 Terminated)
Iowa
Registered Investment Advisory firm - SEC (1/16/2004 Terminated)
Kansas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (9/11/2017 Terminated)
Maryland
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)
Missouri
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (9/6/2017 Terminated)
Ohio
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/7/2017 Terminated)
Texas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Virginia
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)
Washington
Registered Investment Advisory firm - SEC (10/23/2007 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
229 S Main Street, Fort Atkinson, WI 53538
Mailing Address
229 S Main Street, Fort Atkinson, WI 53538
Phone number
(608) 221-4545
Established
Wisconsin since 11/29/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
38

SEC notice filing (16 States and Territories)

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

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CCS-WRAPFEE-2025-JUNE ANNUAL (6/26/2025)
CCS-ADV2A-2025-JUNE ANNUAL (6/26/2025)

Direct owners and executive officers

NamePositionCRD#
COORDINATED CAPITAL HOLDINGS, INC.HOLDING COMPANY
BUECHNER, MARI JOCHIEF EXECUTIVE OFFICER, PRESIDENT1867710
WILLIAMS, SARA DANIELLECHIEF COMPLIANCE OFFICER5460513
WILLIAMS, TRACY NAIOMAVICE PRESIDENT4533496

Regulatory assets under management

Total Number of Accounts248
AUM (Assets Under Management)$ 159,932,138

Disclosures

Regulatory Event4
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/01/2025
Cover Page
Report
12/18/2024
Cover Page
Report
10/18/2023
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

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

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