Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard David Peck is an active investment advisor registered with Cetera Investment Advisers LLC. Richard has been in the financial services industry since 1972. Richard holds a Series 63, Series 65, Series 7TO, Series 3, and Series 4 license and is registered in Florida, Georgia, Massachusetts, New York, North Carolina, Vermont, Virginia, and Washington. Richard is also registered as an Investment Advisor Representative in Florida and North Carolina. Richard specializes in Portfolio Management for Businesses, Portfolio Management for Individuals, Financial Planning, and Pension Consulting. Richard has a long history of working in the financial industry with previous experience at Capital Guardian, LLC, Multi-Financial Securities Corporation, Ensemble Financial Services, Inc., Wall Street Financial Group, Inc., McDonald Investments Inc., Essex Capital Markets, Inc., Advest, Inc., E. F. Hutton & Company Inc., and F I Dupont Glore Forgan & Co.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
FL
03/21/2024 - Present
Cetera Investment Advisers LLC (THE VILLAGES FL)
NC
07/25/2011 - 03/17/2015
CAPITAL GUARDIAN, LLC (CHARLOTTE NC)
LA
04/21/2008 - 02/02/2010
MULTI-FINANCIAL SECURITIES CORPORATION (BATON ROUGE LA)
FL
03/25/2004 - 04/07/2008
ENSEMBLE FINANCIAL SERVICES, INC. (THE VILLAGES FL)
NY
02/29/2000 - 11/19/2002
WALL STREET FINANCIAL GROUP, INC. (VICTOR NY)
OH
09/04/1998 - 07/01/1999
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NY
05/16/1989 - 09/04/1998
ESSEX CAPITAL MARKETS, INC. (ROCHESTER NY)
NA
09/17/1985 - 05/26/1989
ADVEST, INC.
NA
06/28/1973 - 10/21/1985
E. F. HUTTON & COMPANY INC
NA
07/24/1970 - 07/13/1973
F I DUPONT GLORE FORGAN & CO
IA
Issued 04/07/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/16/1990
Series 4 - Registered Options Principal Examination
BC
Issued 06/14/1967
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/1987
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1986
PC - AMEX Put and Call Exam
BC
Issued 07/22/1963
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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