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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

PETER JOHN O'BRIEN

Advisor at CETERA INVESTMENT ADVISERS LLC

ANAHEIM HILLS, CA | YORBA LINDA, CA

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Search this name across graphsid dfx:ria:20c64ce3-ad8f-ec9f-ed2c-97f010498955

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 18, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 30, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66|S65
First exam: Oct 30, 1989
First registration: Jun 18, 2007
Dual registered: yes, broker-dealer
Other names: PETER JOHN OBRIEN
IAPD individual key: 1158034

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 28, 2013	n/a	yes	YORBA LINDA, CA\|ANAHEIM HILLS, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jan 29, 2013	no	EL SEGUNDO, CA\|ANAHEIM, CA\|NEWPORT BEACH, CA\|ANAHEIM, CA\|BREA, CA\|BEVERLY HILLS, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Oct 26, 2010	Jan 3, 2011	no	ANAHEIM, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 1, 2009	Feb 3, 2010	no	FOUNTAIN HILLS, AZ\|FOUNTAIN HILLS, AZ\|FOUNTAIN HILLS, AZ\|FOUNTAIN HILLS, AZ	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jun 18, 2007	Feb 9, 2009	no	SCOTTSDALE, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	CETERA INVESTMENT ADVISERS LLC	Jan 29, 2013	Jan 28, 2013	-1	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO INVESTMENTS, LLC	Feb 3, 2010	Oct 26, 2010	265	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	CHASE INVESTMENT SERVICES CORP.	Feb 9, 2009	Apr 1, 2009	51	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jan 28, 2013 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jan 29, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Oct 26, 2010 to Jan 3, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 1, 2009 to Feb 3, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 18, 2007 to Feb 9, 2009factForm ADV

Dated events

No dated event names this entity yet.