Alex W. Peters

HOHIMER WEALTH MANAGEMENT

Seattle, WA 98101

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CRD#: 2009148

Professional summary

Alex Walter Peters, who also goes by Alex W Peters, is a registered financial advisor currently at HOHIMER WEALTH MANAGEMENT, LLC located in Seattle, Washington.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Alex has worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex W Peters

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) LENDINCO; NON-INV RELATED; 600 UNIVERSITY STREET SUITE 2401, SEATTLE, WA 98101; PROVIDES RESIDENTIAL LENDING SERVICES; TITLE: LOAN CONSULTANT; JUNE 2020; 4 HOURS/MONTH; 0 HOURS DURING TRADING; REFERS BUSINESS TO LENDINCO 2) BEACON FUND ADVISORY BOARD; INV RELATED; 2398 E CAMELBACK ROAD, PHOENIX, AZ 85016; ALTERNATIVE INVESTMENT THAT HOHIMER WEALTH MANAGEMENT CLIENTS HOLD; TITLE: ADVISORY BOARD MEMBER; AS OF FEBRUARY 1, 2021; 1 HOUR/MONTH; 0 DURING TRADING HOURS; ATTEND QUARTERLY BOARD MEETINGS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Walter Peters'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

April 18, 2019 - Present

HOHIMER WEALTH MANAGEMENT, LLC

Office #1: One Union Square 600 University Street, Suite 2401, Seattle, WA 98101

RIA

CRD#: 300140

Seattle, WA

Past

January 20, 2006 - November 2, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

March 24, 1993 - September 2, 2005

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

May 16, 1990 - September 28, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 19, 1989 - March 13, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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".

HOHIMER WEALTH MANAGEMENT, LLC

CRD#: 300140 / SEC#: 801-114746

RIA

Registered Investment Advisory firm - (2/28/2019 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

Washington
(4/18/2019)

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

Series 63

Date: 12/19/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/8/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/2/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HOHIMER WEALTH MANAGEMENT, LLC

CRD#: 300140 / SEC#: 801-114746

RIA

Registered Investment Advisory firm - (2/28/2019 Approved)

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Contact information

Main Address

One Union Square 600 University Street, Suite 2401, Seattle, WA 98101

Mailing Address

Phone number

(206) 709-5955

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOHIMER WEALTH MANAGEMENT FORM ADV 2A BROCHURE (3/31/2025)

HOHIMER WEALTH MANAGEMENT WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,229
AUM (Assets Under Management)	$ 993,696,676

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/17/2022	Cover Page	Report

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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Firm Stability Insights

Alex W. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Walter Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

PRUDENTIAL EQUITY GROUP, LLC

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

HOHIMER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1989

Series 7

Date: 10/8/1993

Series 6

Date: 3/2/1993

Current Firm

HOHIMER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HOHIMER WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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