RICHARD DAVID PECK

RICHARD DAVID PECK is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 816 EVANS WAY, THE VILLAGES, FL, 32162.

RICHARD DAVID PECK has worked at CETERA ADVISORS LLC since February 17, 2015

Disclosure History

RICHARD DAVID PECK has 1 Disclosure Event(s).

Date: December 14, 2001
Category: Customer Dispute
Allegations: CLIENT IS CLAIMING I CHURNED HIS ACCOUNT BETWEEN FEB-APRIL OF 2001 AND RECOMMENDED UNSUITABLE INVESTMENTS DURING JULY, 2001.

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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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