PM
Peter T. Mooney
COORDINATED CAPITAL SECURITIES
Melbourne, FL 32901
Some features on this profile are disabled
CRD#: 848627
PM
Professional summary
Peter Thomas Mooney, CFP®, who also goes by Peter T Mooney, is a registered financial advisor currently at COORDINATED CAPITAL SECURITIES, INC. located in Melbourne, Florida.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Peter has worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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
CRS (Client Relationship Summary) - RIA
Click below to view Peter Thomas Mooney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Thomas Mooney'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®
Experience
Current
August 21, 2006 - Present
COORDINATED CAPITAL SECURITIES, INC.
Office #1: 1900 S. Harbor City Blvd. Suite #341, Melbourne, FL 32901RIA
BD
CRD#: 14762
Melbourne, FL
Current
August 21, 2006 - Present
COORDINATED CAPITAL SECURITIES, INC.
Office #1: 1900 S. Harbor City Blvd. Suite #341, Melbourne, FL 32901RIA
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.
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
Alabama(8/25/2009)
RR
California(5/14/2009)
RR
Colorado(3/18/2014)
RR
Florida(8/21/2006)
IAR
Florida(8/22/2006)
RR
Georgia(1/28/2025)
RR
Kentucky(9/11/2024)
RR
North Carolina(8/31/2022)
RR
Wisconsin(8/21/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/28/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
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 (17 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 248 |
| AUM (Assets Under Management) | $ 159,932,138 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2025 | ||
| 12/18/2024 | ||
| 10/18/2023 | ||
| 01/05/2023 |
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.
