Unclaimed Profile

Peter Lawrence Mooney

SAFEGUARD SECURITIES, INC.·MAYFIELD HEIGHTS, Ohio

SIE, Series 6, Series 7, Series 24, Series 63, Series 6524 years registeredSAFEGUARD SECURITIES, INC.

6060 PARKLAND BOULEVARD, MAYFIELD HEIGHTS, OH 44124CRD# 2365429Firm CRD# 31256

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Peter Lawrence Mooney · MAYFIELD HEIGHTS, OH

Registration

CRD #2365429 · SAFEGUARD SECURITIES, INC. · 24 years registered

Brand Profile

Not yet started

Career History

ULTRA ADVISORS LLC

May 2019 – present

ANCORA RETIREMENT PLAN ADVISORS INC.

May 2007 – Mar 2019

CLEVELAND, OH

WATERSTONE FINANCIAL GROUP, INC.

May 2004 – May 2007

BEACHWOOD, OH

WS GRIFFITH SECURITIES, INC.

Sep 2003 – Jun 2004

BEACHWOOD, OH

FINANCIAL NETWORK GROUP LTD

Jan 2003 – Sep 2003

BEACHWOOD, OH

AXA ADVISORS, LLC

Sep 2001 – Aug 2002

BEACHWOOD, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · September 18, 2001

Years registered · 24

Disclosure History

2015Regulatory·Final

2014Regulatory·Final

2013Customer Dispute·Denied

1998Customer Dispute·Closed-No Action

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD 31256 · SEC 801-67475

AUM

$1.1B

Regulatory assets under management

Employees

149 client accounts

Services offered by ANCORA RETIREMENT PLAN ADVISORS, LLC

Per Form ADV

Portfolio management (individuals)

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at ANCORA RETIREMENT PLAN ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Peter Lawrence Mooney offer?

Peter Lawrence Mooney specializes in Investment Management. Contact their office in MAYFIELD HEIGHTS, Ohio for a consultation.

What are Peter Lawrence Mooney's credentials?

Peter Lawrence Mooney is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Peter Lawrence Mooney located?

Peter Lawrence Mooney is based in MAYFIELD HEIGHTS, Ohio, working with SAFEGUARD SECURITIES, INC.. Their office serves clients in the MAYFIELD HEIGHTS metropolitan area and surrounding communities.

How does Peter Lawrence Mooney charge for services?

Peter Lawrence Mooney's firm is compensated through percentage of aum, subscription fees, other: revenue sharing with frs, and on credit and cash mgmt solutions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SAFEGUARD SECURITIES, INC.?

SAFEGUARD SECURITIES, INC. has approximately 42 employees and manages $1.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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