Barbara L. Wolfe

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CRD#: 2110087

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.

Barbara Leatha Wolfe, who also goes by Bardie Wolfe, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1991. Barbara had worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bardie Wolfe

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®

None

Experience

Past

October 1, 2015 - February 14, 2020

PEAK FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 281223

BROOMFIELD, CO

Past

May 31, 2013 - October 2, 2015

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

BROOMFIELD, CO

Past

May 31, 2013 - October 31, 2016

GIRARD SECURITIES, INC.

CRD#: 18697

BROOMFIELD, CO

Past

August 26, 2002 - December 5, 2013

PEAK FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 121411

BROOMFIELD, CO

Past

January 1, 1999 - June 17, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

BROOMFIELD, CO

Past

November 11, 1998 - June 17, 2013

LPL FINANCIAL LLC

CRD#: 6413

BROOMFIELD, CO

Past

March 4, 1996 - November 13, 1998

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

July 25, 1995 - March 18, 1996

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

September 20, 1993 - June 28, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 23, 1991 - October 6, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 23, 1991 - October 6, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PEAK FINANCIAL MANAGEMENT, INC.

AIGUILLE FINANCIAL ADVISORS, INC. | PEAK FINANCIAL MANAGEMENT, INC.

CRD#: 281223 / SEC#: 801-134603

RIA

Registered Investment Advisory firm - (11/18/2025 Approved)

Colorado

Registered Investment Advisory firm - (12/22/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2025 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/3/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/21/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/1999

General Securities Principal Examination

Current Firm

PEAK FINANCIAL MANAGEMENT, INC.

AIGUILLE FINANCIAL ADVISORS, INC. | PEAK FINANCIAL MANAGEMENT, INC.

CRD#: 281223 / SEC#: 801-134603

RIA

Registered Investment Advisory firm - (11/18/2025 Approved)

Colorado

Registered Investment Advisory firm - (12/22/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2025 Terminated)

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Contact information

Main Address

10901 W. 120th Avenue Suite 135, Broomfield, CO 80021

Mailing Address

Phone number

(303) 255-2252

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE-PART 2A (2/13/2026)

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 109,420,824

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

Barbara L. Wolfe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED CAPITAL FINANCIAL ADVISORS

GIRARD SECURITIES, INC.

PEAK FINANCIAL MANAGEMENT, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SECURITIES AMERICA, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CETERA WEALTH SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PEAK FINANCIAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/26/1990

SIE

Date: 10/31/2016

Series 31

Date: 5/3/2003

Series 7

Date: 1/21/1991

Series 24

Date: 7/9/1999

Current Firm

PEAK FINANCIAL MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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