Tom A. Puentes

PEACHCAP TAX & ADVISORY

Langley, WA

Some features on this profile are disabled

CRD#: 1713812

Professional summary

Tom Abel Puentes, who also goes by Tom A Puentes, is a registered financial advisor currently at PEACHCAP TAX & ADVISORY, LLC located in Langley, Washington.

Tom is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Tom has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom A Puentes

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.

Business Name: Pacific Northwest Ballet Investment Related: No Address: 301 Mercer St Seattle WA 98109, Board Member, 2010, 3hours per month, 0 hours during securities trading, Non-Profit, Description: Board of Directors Seattle Opera, Investment Related: No, Address: 363 Mercer Street, Seattle WA, 98109, 2012, 3 Hours per month, 0 Hours during securities trading hours, Board Member, Non-Profit. Langley Pacific Partners, Inv. Related, 220 2nd Street #101 Langley CA, 98260, Managing Director, Dec. 2014, 170 Hours per month, 130 Per month during securities trading hours, Financial Services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tom Abel Puentes's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 2, 2019 - Present

PEACHCAP TAX & ADVISORY, LLC

RIA

CRD#: 158729

Langley, WA

Past

September 18, 2018 - September 29, 2022

PEACHCAP SECURITIES, INC.

CRD#: 25590

Camarillo, CA

Past

February 23, 2015 - May 7, 2018

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA

CRD#: 155193

LANGLEY, WA

Past

December 10, 2014 - December 19, 2014

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA

CRD#: 155193

LANGLEY, WA

Past

December 10, 2014 - May 7, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Woodland Hills, CA

Past

June 1, 2009 - November 20, 2014

MORGAN STANLEY

RIA

CRD#: 149777

LANGLEY, WA

Past

June 1, 2009 - November 20, 2014

MORGAN STANLEY

CRD#: 149777

LANGLEY, WA

Past

July 8, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LANGLEY, WA

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LANGLEY, WA

Past

July 18, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 22, 1987 - June 20, 1991

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

PEACHCAP TAX & ADVISORY, LLC

INDEPENDENT WEALTH ADVISORS GROUP, LLC | PEACHTREE CAPITAL TAX AND ADVISORY, LLC | PEACHCAP TAX & ADVISORY, LLC | MILLER WEALTH ADVISORY, LLC

CRD#: 158729 / SEC#: 801-107335

RIA

Registered Investment Advisory firm - (3/1/2016 Approved)

Georgia

Registered Investment Advisory firm - (5/5/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(7/2/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/3/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PEACHCAP TAX & ADVISORY, LLC

INDEPENDENT WEALTH ADVISORS GROUP, LLC | PEACHTREE CAPITAL TAX AND ADVISORY, LLC | PEACHCAP TAX & ADVISORY, LLC | MILLER WEALTH ADVISORY, LLC

CRD#: 158729 / SEC#: 801-107335

RIA

Registered Investment Advisory firm - (3/1/2016 Approved)

Georgia

Registered Investment Advisory firm - (5/5/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

550 Pharr Rd. Suite 700, Atlanta, GA 30305

Mailing Address

Phone number

(404) 220-8958

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	605
AUM (Assets Under Management)	$ 148,611,560

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tom A. Puentes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tom Abel Puentes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEACHCAP SECURITIES, INC.

KESTRA PRIVATE WEALTH SERVICES, LLC

KESTRA PRIVATE WEALTH SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

PEACHCAP TAX & ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2015

Series 63

Date: 10/9/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 8

Date: 10/3/1991

Current Firm

PEACHCAP TAX & ADVISORY, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEACHCAP TAX & ADVISORY, LLC

TRUST BUT VERIFY

Similar Advisors