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Detailed Report
PETER JOHN ORTH
CRD#: 2176861
IA
Investment Adviser
B
Broker
LIBERTY ONE INVESTMENT MANAGEMENTCRD#: 304290 Wilmington, NC
MONEY CONCEPTS CAPITAL CORPCRD#: 12963 1509 N MILWAUKEE AVENUE
LIBERTYVILLE, IL 60048
Registration History
19952000200520102015202020252 FIRMS2002 - 2003 (<1 year)2 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - Present (18 years)IALIBERTY ONE INVESTMENT MANAGEMENT (CRD# 304290)2019 - Present (5 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1992 - 2001 (9 years)BOAK RIDGE INVESTMENTS, INC. (CRD# 25544)1991 - 1992 (<1 year)
License(s)

State Registrations

B
Illinois 4/19/2007
IA
North Carolina 10/22/2019
IA
Illinois 4/19/2007
B
South Carolina 10/18/2017
B
North Carolina 10/18/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LIBERTY ONE INVESTMENT MANAGEMENT (CRD#:304290)
Wilmington, NC
Registered with this firm since 10/22/2019
IA
MONEY CONCEPTS ADVISORY SERVICE (CRD#:12963)
1509 N MILWAUKEE AVENUE, LIBERTYVILLE, IL 60048
Wilmington, NC
Registered with this firm since 4/19/2007
B
MONEY CONCEPTS CAPITAL CORP (CRD#:12963)
1509 N MILWAUKEE AVENUE, LIBERTYVILLE, IL 60048
Wilmington, NC
Registered with this firm since 4/19/2007
Previous Registration(s)
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B
 10/18/2005 - 03/26/2007 LADENBURG THALMANN & CO. INC. (CRD#:505) LINCONSHIRE, IL
IA
 10/20/2005 - 01/08/2007 LADENBURG THALMANN ASSET MANAGEMENT INC (CRD#:108604) NEW YORK, NY
IA
 02/11/2003 - 10/19/2005 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LINCOLNSHIRE, IL
B
 02/11/2003 - 10/19/2005 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
IA
 08/27/2002 - 02/04/2003 WS GRIFFITH SECURITIES, INC. (CRD#:10410) ROSEMONT, IL
B
 08/14/2002 - 02/04/2003 WS GRIFFITH SECURITIES, INC. (CRD#:10410) HARTFORD, CT
B
 04/09/1992 - 10/12/2001 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
 10/24/1991 - 03/23/1992 OAK RIDGE INVESTMENTS, INC. (CRD#:25544) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.