PG
Peter J. Grogan
UNITED CAPITAL FINANCIAL ADVISORS
BUFFALO, NY 14202
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CRD#: 1073574
PG
Professional summary
Peter J Grogan, CFP®, who also goes by Peter Jerome Grogan, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Buffalo, New York.
Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Tax Planning
Estate Planning
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Social Security Planning
Are you a "fiduciary"?
Yes
Aliases
Peter Jerome Grogan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) I AM AN INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. I MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS.
CRS (Client Relationship Summary) - RIA
Click below to view Peter J Grogan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1998
Experience
Current
February 2, 2012 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 374 Delaware Avenue Suite 105, Buffalo, NY 14202RIA
CRD#: 134600
BUFFALO, NY
Past
January 3, 2012 - October 23, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
BUFFALO, NY
Past
June 11, 2003 - December 31, 2011
HAROLD C. BROWN & CO., LLC
BD
CRD#: 126589
BUFFALO, NY
Past
October 12, 1998 - June 30, 2003
HAROLD C. BROWN & CO., INC.
BD
CRD#: 35222
BUFFALO, NY
Past
November 5, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
November 5, 1982 - October 26, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(3/14/2021)
IAR
South Carolina(5/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Buffalo, NY 14202TRUST BUT VERIFY
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Contact information
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