Kathleen Peake
Kathleen Peake is a registered investment advisor at Cetera Investment Advisers LLC, based in Tucson, AZ, with 24 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Tucson, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Kathleen sells health and international medical insurance, and is involved with Catalina Systems International, The Peake Financial Group, eWomenNetwork, Funancial Freedom, and Empowering Women Alliance LLC. She dedicates minimal time to most of these activities, with a few hours per week spent on eWomenNetwork and Funancial Freedom.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Financial Specialists LLCBroker
Previous Registrations
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
State Registrations9 states
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