Theodore R. Waechter
OLD PEAK FINANCE
Chapel Hill, NC 27517
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CRD#: 1161662
Professional summary
Theodore Richard Waechter JR, CFP®, who also goes by Theodore Richard Waechter, is a registered financial advisor currently at OLD PEAK FINANCE located in Chapel Hill, North Carolina.
Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Theodore has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Biography
Rick founded Old Peak. He has 25 years’ experience providing financial advice. He is a CERTIFIED FINANCIAL PLANNER™. He previously spent 15 years advising companies and governments throughout Asia, with Merrill Lynch, where he led teams that completed $50 billion of transactions. Rick has degrees from Princeton (AB) and Harvard Business School (MBA). He volunteers in area schools, teaching financial literacy. Rick and his wife have two adult children and live in Chapel Hill.
Question & Answer
What are your service offerings?
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Insurance Planning
Investment Planning
Tax Planning
Do you have an area of expertise or specialization?
Cash Flow/Budgets/Credit Issue...
College/Education Planning
Corporate Executives
Estate & Generational Planning...
Financial Psychology/Coaching
High Net Worth Client Needs
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Theodore Richard Waechter
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Theodore Richard Waechter JR'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: 2011
Experience
Current
August 26, 2010 - Present
OLD PEAK FINANCE
Office #1: 100 Europa Drive Suite 410, Chapel Hill, NC 27517RIA
CRD#: 154804
Chapel Hill, NC
Past
October 23, 2007 - March 31, 2010
BRIDGE CAPITAL ASSOCIATES, INC.
BD
CRD#: 143475
CHAPEL HILL, NC
Past
September 29, 2005 - November 11, 2005
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
July 20, 1994 - March 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
OLD PEAK FINANCE
OLD PEAK FINANCE | OLD PEAK FINANCE LLC
CRD#: 154804 / SEC#: 801-109968
RIA
Registered Investment Advisory firm - (2/14/2017 Approved)North Carolina
Registered Investment Advisory firm - (2/17/2017 Terminated)Texas
Registered Investment Advisory firm - (2/17/2017 Terminated)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
North Carolina(8/26/2010)
IAR
Texas(6/23/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OLD PEAK FINANCE
OLD PEAK FINANCE | OLD PEAK FINANCE LLC
CRD#: 154804 / SEC#: 801-109968
RIA
Registered Investment Advisory firm - (2/14/2017 Approved)North Carolina
Registered Investment Advisory firm - (2/17/2017 Terminated)Texas
Registered Investment Advisory firm - (2/17/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Europa Drive Suite 410, Chapel Hill, NC 27517
Mailing Address
Phone number
(919) 459-8181
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 579 |
| AUM (Assets Under Management) | $ 575,178,443 |
Red Flags
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Company Information
OLD PEAK FINANCE
CRD#: 154804Chapel Hill, NC 27517TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
