Individual Firm
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GARY GALEN PETERSON
CRD#: 1205047
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1440 ROCKSIDE RD STE 324
PARMA, OH 44134
PARMA, OH 44134
CETERA ADVISORS LLCCRD#: 10299 1440 ROCKSIDE RD STE 324
PARMA, OH 44134
PARMA, OH 44134
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10/5/2003
Customer Dispute
Settled
State Registrations
B
Ohio 7/8/2005
IA
Ohio 3/21/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 7/8/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/11/2005 - 03/21/2024 | PARMA, OH | |
B | 05/06/2005 - 06/27/2005 | BIRMINGHAM, AL | |
B | 01/15/2003 - 03/25/2003 | MINNEAPOLIS, MN | |
B | 08/20/1999 - 01/17/2003 | ATLANTA, GA | |
B | 08/28/1998 - 08/27/1999 | WAVERLY, IA | |
B | 04/25/1997 - 09/08/1998 | CLEVELAND, OH | |
B | 08/18/1995 - 06/04/1996 | CARMEL, IN | |
B | 07/18/1995 - 08/03/1995 | ST. CLOUD, MN | |
B | 03/31/1992 - 03/28/1995 | SACRAMENTO, CA | |
B | 07/07/1989 - 11/05/1991 | ST. CLOUD, MN | |
B | 12/22/1983 - 06/07/1989 | BOSTON, MA |
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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.