KATHLEEN MARGARET PEAKE

KATHLEEN MARGARET PEAKE is currently employed as a Broker and/or Investment Adviser at CETERA FINANCIAL SPECIALISTS LLC located at 3040 WEST SUN RANCH TRAIL, TUCSON, AZ, 85742.

KATHLEEN MARGARET PEAKE has worked at CETERA FINANCIAL SPECIALISTS LLC since July 30, 2014

Disclosure History

KATHLEEN MARGARET PEAKE has 1 Disclosure Event(s).

Date: October 29, 2014
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: HAD 2 MEDICAL HOSPITAL STAYS WITHIN ONE YEAR WITH NO HEALTH INSURANCE, SO COULDN'T KEEP UP WITH DEMANDSOF THAT AND DECIDED TO DECLARE BANKRUPTCY.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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