Individual Firm
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STEPHEN MARK PEER
CRD#: 1034108
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 200 GREAT OAKS BLVD STE 221
ALBANY, NY 12203
ALBANY, NY 12203
CETERA ADVISOR NETWORKS LLCCRD#: 13572 200 GREAT OAKS BLVD STE 221
ALBANY, NY 12203
ALBANY, NY 12203
0
Disclosures
41
Years of Experience
View By:
State Registrations
B
California 6/9/2021
B
New York 6/9/2021
B
Connecticut 6/9/2021
IA
New York 6/29/2023
B
District of Columbia 6/9/2021
B
Oklahoma 9/8/2022
B
Florida 6/10/2021
B
Pennsylvania 4/19/2022
B
Georgia 6/9/2021
B
Rhode Island 8/7/2023
B
Maine 1/25/2022
B
South Carolina 6/9/2021
B
Maryland 6/9/2021
B
Texas 1/2/2025
B
Massachusetts 6/9/2021
B
Vermont 6/9/2021
B
Michigan 3/15/2023
B
Virginia 6/9/2021
B
New Jersey 6/9/2021
B
Washington 1/2/2025
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
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Registered with this firm since 6/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/07/2021 - 06/29/2023 | EL SEGUNDO, CA | |
B | 07/07/2010 - 06/09/2021 | ALBANY, NY | |
B | 11/14/1999 - 07/09/2009 | ALBANY, NY | |
B | 10/20/1997 - 10/12/1999 | NEW YORK, NY | |
B | 10/13/1982 - 09/05/1997 | NEWARK, NJ | |
B | 04/29/1982 - 12/10/1993 | NEWARK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.