Eric J. Peyton

TRADITION WEALTH MANAGEMENT LLC

Edina, MN 55435

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CRD#: 1924639

Professional summary

Eric Jon Peyton, who also goes by Eric Peyton, Eric Jon Peyton, is a registered financial advisor currently at TRADITION WEALTH MANAGEMENT LLC located in Edina, Minnesota and PRIVATE CLIENT SERVICES, LLC located in Wayzata, Minnesota.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Eric has worked at 12 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Peyton | Eric Jon Peyton

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Jon Peyton'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

February 9, 2018 - Present

TRADITION WEALTH MANAGEMENT LLC

Office #1: 7601 France Avenue South Suite 100, Edina, MN 55435

RIA

CRD#: 128314

Edina, MN

Current

January 31, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 100 Lake St West, Wayzata, MN 55391

RIA

CRD#: 120222

Wayzata, MN

Past

January 29, 2018 - January 31, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Edina, MN

Past

November 14, 2012 - February 2, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAYZATA, MN

Past

September 5, 2012 - February 2, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAYZATA, MN

Past

January 10, 2011 - September 6, 2011

STERNE, AGEE & LEACH, INC.

CRD#: 791

BLOOMINGTON, MN

Past

October 6, 2009 - January 6, 2011

WEDBUSH SECURITIES INC.

CRD#: 877

MINNETONKA, MN

Past

January 8, 2008 - March 24, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

Past

March 9, 2007 - January 4, 2008

COLLIERS SECURITIES LLC

CRD#: 7477

MINNEAPOLIS, MN

Past

July 1, 2003 - September 24, 2004

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

April 3, 2001 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 27, 1993 - September 14, 1993

TRADERS CONSULTING GROUP INC.

CRD#: 30722

Past

June 24, 1992 - September 30, 1992

GTC LIMITED PARTNERSHIP

CRD#: 26551

Past

May 22, 1989 - August 28, 1991

MF GLOBAL INC.

CRD#: 6731

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".

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/31/2025)

California
(1/31/2025)

Colorado
(1/31/2025)

Florida
(1/31/2025)

IAR

Minnesota
(2/9/2018)

Minnesota
(1/31/2025)

Texas
(6/25/2025)

Wisconsin
(1/31/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/23/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 6/23/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 Approved)

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Contact information

Main Address

7601 France Avenue South Suite 100, Edina, MN 55435

Mailing Address

Phone number

(952) 563-6500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADITION WEALTH MANAGEMENT ADVII (3/26/2025)

Regulatory assets under management

Total Number of Accounts	5,271
AUM (Assets Under Management)	$ 1,950,074,593

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.

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Advisor Monitoring

Firm Stability Insights

Eric J. Peyton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Jon Peyton's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STERNE, AGEE & LEACH, INC.

WEDBUSH SECURITIES INC.

WELLS FARGO SECURITIES, LLC

COLLIERS SECURITIES LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TRADERS CONSULTING GROUP INC.

GTC LIMITED PARTNERSHIP

MF GLOBAL INC.

Primary Firm SEC Registration

TRADITION WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2012

Series 63

Date: 7/6/2007

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/23/2008

Series 3

Date: 6/23/1990

Series 7

Date: 4/15/1989

FINRA

Current Firm

TRADITION WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADITION WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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