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ChFC
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ChFC

John Peters

LPL Financial LLC
40 Years of Experience
Tucson, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

John Peters is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Tucson, AZ, with 40 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6029 E Grant Rd, Tucson, AZ, 85712

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2011
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John is the President and Owner of Professional Wealth Strategies, Inc. and John R. Peters, Inc., both investment-related entities. He also sells fixed insurance under the name 'Professional Wealth Strategies, Inc.' and receives proceeds from art sales within the branch office.

Employment History
Current Registrations
LPL Financial LLC
June 2025 - Present · 1 yr 4 mos
LPL Financial LLCBroker
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Commonwealth Financial Network
January 2007 - June 2025 · 18 yrs 5 mos
Commonwealth Financial NetworkBroker
December 2006 - June 2025 · 18 yrs 6 mos
Aig Financial Advisors, INC.Broker
October 2005 - January 2007 · 1 yr 3 mos
Householder Group, Estate & Retirement Specialists
March 2004 - December 2007 · 3 yrs 9 mos
Sunamerica Securities, INC.Broker
August 2003 - October 2005 · 2 yrs 2 mos
Allstate Financial Services, LLCBroker
January 2003 - August 2003 · 7 mos
Ameritas Investment CORP.Broker
December 2000 - December 2002 · 2 yrs
Farmers Financial Solutions, LLCBroker
September 2000 - November 2000 · 2 mos
Investors Brokerage Services, INC.Broker
November 1999 - September 2000 · 10 mos
Princor Financial Services CorporationBroker
August 1997 - October 1999 · 2 yrs 2 mos
Fbl Marketing Services, INC.Broker
August 1995 - June 1997 · 1 yr 10 mos
Manequity, INC.Broker
April 1992 - August 1995 · 3 yrs 4 mos
Hartford Equity Sales Company INC.Broker
February 1988 - June 1990 · 2 yrs 4 mos
Nationwide Advisory Services, INC.Broker
July 1983 - February 1987 · 3 yrs 7 mos
State Registrations11 states
AZCAFLMAMEMONYOHSCTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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