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Henry T. Peck

Some features on this profile are disabled
CRD#: 2107644
HP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Henry Thomas Peck, CFP®, who also goes by Hank Peck, was a registered financial professional .

Henry is a previously registered financial professional and started their career in finance in 1991. Henry had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hank Peck

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)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Experience

Past

July 7, 2008 - December 31, 2017

TCI WEALTH ADVISORS, INC.

RIA
CRD#: 107373
TUCSON, AZ
Past

June 27, 2005 - June 19, 2006

FERGUSON INVESTMENT SERVICES PLLC

RIA
CRD#: 126975
TUCSON, AZ
Past

February 8, 2005 - June 21, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
TUCSON, AZ
Past

May 2, 2001 - October 17, 2001

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

May 2, 2001 - October 17, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

January 10, 2000 - December 31, 2000

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

November 20, 1991 - December 31, 1999

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

March 12, 1991 - May 7, 1991

NYLIFE SECURITIES LLC

BD
CRD#: 5167
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".
TCI WEALTH ADVISORS, INC.
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON

CRD#: 107373 / SEC#: 801-37083

RIA
Registered Investment Advisory firm - (8/30/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/1/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TCI WEALTH ADVISORS, INC.
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON

CRD#: 107373 / SEC#: 801-37083

RIA
Registered Investment Advisory firm - (8/30/1990 Approved)
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Contact information

Main Address
4011 East Sunrise Drive, Tucson, AZ 85718
Mailing Address
Phone number
(520) 733-1477
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts11,010
AUM (Assets Under Management)$ 4,527,183,704

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/08/2025
Cover Page
Report
08/23/2024
Cover Page
Report
10/30/2023
Cover Page
Report
12/22/2022
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.

Company Information

TCI WEALTH ADVISORS, INC.

TCI WEALTH ADVISORS, INC.

CRD#: 107373

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