Kathleen Peake, financial advisor Tucson AZ
81 score

Kathleen Peake

CRD Number: 4485099
Current Firm: Cetera Investment Advisers LLC

Kathleen Peake (CRD# 4485099) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Tucson, AZ and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Financial Specialists LLC Schaumburg, IL Jul 2014 - Current 2
Cetera Investment Advisers LLC Schaumburg, IL Jul 2014 - Jul 2014 < 1
Sagepoint Financial Tucson, AZ Jul 2013 - Jul 2014 1
National Planning Corporation Santa Monica, CA Feb 2013 - Jul 2013 < 1
Streff Financial Group LLC Tucson, AZ Feb 2013 - Jul 2013 < 1
National Planning Corporation Tucson, AZ Sep 2011 - Dec 2012 1
Woodbury Fncl Tucson, AZ Dec 2001 - Sep 2011 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2001
S65 NASAA Investment Advisors Law Examination May 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Kathleen M. Peake
Phone Number: 888-528-2987
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    7,010
    MILLIONS
  • Total Number of Accounts
    26,660
    ACCOUNTS
  • Average Account Value
    $262,943
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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