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Peter Anthony Maddox

Cetera Advisors LLC

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About Peter Anthony Maddox

Peter Maddox is a financial advisor with over 17 years of experience in the industry. Peter is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, and Cetera Advisor Networks LLC. Peter has a strong background in providing financial advice to individuals and families. Peter specializes in retirement planning, investment management, and estate planning.

Firm Information

Peter Maddox is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Peter Maddox’s Registration & Firm History

CA

04/01/2022 - Present

Cetera Advisors LLC (EL SEGUNDO CA)

CO

03/05/2020 - 08/17/2020

CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)

FL

05/30/2008 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)

FL

01/19/2016 - 11/29/2016

VSR FINANCIAL SERVICES, INC. (Boca Raton FL)

FL

11/02/2006 - 02/15/2008

CAPITAL GROWTH FINANCIAL, LLC (BOCA RATON FL)

FL

01/06/2006 - 07/26/2006

POINTE CAPITAL, INC. (TAMPA FL)

NY

11/11/2004 - 07/12/2005

REID & RUDIGER LLC (NEW YORK NY)

FL

05/26/2004 - 08/17/2004

SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)

NJ

04/06/2004 - 05/10/2004

THE GMS GROUP, LLC (EAST HANOVER NJ)

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Licenses & Designations

BC

Issued 03/30/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/25/2015

Series 53 - Municipal Securities Principal Examination

BC

Issued 03/15/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/13/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/05/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Peter Anthony Maddox. Review regulatory record here.
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