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Detailed Report
MARGARET MARY REID
PEGGY REID
CRD#: 4130960
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 17500 RED HILL AVE STE 230
IRVINE, CA 92614
CETERA ADVISOR NETWORKS LLCCRD#: 13572 17500 RED HILL AVE STE 230
IRVINE, CA 92614
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2014 (2 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2014 - Present (10 years)BEQUITY SERVICES, INC. (CRD# 265)2005 - 2009 (4 years)BAXA ADVISORS, LLC (CRD# 6627)2005 - 2005 (<1 year)BMONY SECURITIES CORPORATION (CRD# 4386)2000 - 2005 (5 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2014 - 2023 (8 years)IAESI FINANCIAL ADVISORS (CRD# 265)2007 - 2009 (2 years)
License(s)

State Registrations

B
Arizona 11/19/2014
B
South Carolina 6/8/2020
B
California 11/19/2014
B
Texas 11/19/2014
IA
California 6/29/2023
IA
Texas 6/29/2023
B
Colorado 10/6/2021
B
Virginia 6/25/2021
B
Idaho 7/26/2019
B
Washington 6/19/2015
B
Nevada 6/25/2021

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
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
17500 RED HILL AVE STE 230, IRVINE, CA 92614
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
17500 RED HILL AVE STE 230, IRVINE, CA 92614
YORBA LINDA, CA
Registered with this firm since 11/19/2014
Previous Registration(s)
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IA
 11/21/2014 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 11/16/2012 - 12/18/2014 CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC (CRD#:131631) ORANGE, CA
B
 11/16/2012 - 12/18/2014 CAPITAL GUARDIAN, LLC (CRD#:137919)
FINRA expelled the firm on 01/18/2018
ORANGE, CA
IA
 10/19/2009 - 11/19/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ORANGE, CA
B
 10/16/2009 - 11/19/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ORANGE, CA
IA
 04/10/2007 - 10/15/2009 ESI FINANCIAL ADVISORS (CRD#:265) ORANGE, CA
B
 08/24/2005 - 10/15/2009 EQUITY SERVICES, INC. (CRD#:265) ORANGE, CA
B
 06/01/2005 - 08/04/2005 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 02/10/2000 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
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.