Keith F. Peters

MCGLONE SUTTNER WEALTH MANAGEMENT

Appleton, WI 54913

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CRD#: 2123214

Professional summary

Keith Forrest Peters, CFP® is a registered financial advisor currently at MCGLONE SUTTNER WEALTH MANAGEMENT, INC. located in Appleton, Wisconsin.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Keith has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. Insurance; Investment related: Yes; Location: 3501 E Evergreen Drive Appleton WI 54913 USA; Position Title: Insurance Producer; Responsibilities Duties: Discuss client's insurance needs and make recommend appropriate insurance product for their use.; Start date: 2022-01-02; Hours per month during trading hours: 10; Hours per month outside trading hours: 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Forrest 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®

CFP^®

Certified Financial Planner

Experience

Current

December 9, 2021 - Present

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

Office #1: 3501 E Evergreen Drive Ste A, Appleton, WI 54913

RIA

CRD#: 149830

Appleton, WI

Past

November 16, 2018 - February 1, 2022

KOM WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 142682

APPLETON, WI

Past

June 28, 2013 - May 21, 2015

LPL FINANCIAL LLC

CRD#: 6413

APPLETON, WI

Past

December 13, 2010 - July 1, 2013

OSAIC SERVICES, INC.

CRD#: 133763

APPLETON, WI

Past

August 5, 2004 - December 17, 2010

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

January 12, 1999 - August 9, 2004

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 16, 1998 - November 10, 1998

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

October 13, 1997 - January 30, 1998

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

February 4, 1991 - March 14, 1991

WHITEHOUSE & MOORE INVESTMENTS, INC.

CRD#: 24738

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".

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

APPLETON CAPITAL PARTNERS, INC. | VERUS INVESTMENT ADVISORY GROUP, INC. | VERUS INVESTMENT ADVISORY GROUP | MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

CRD#: 149830 / SEC#: 801-112692

RIA

Registered Investment Advisory firm - (3/22/2018 Approved)

Wisconsin

Registered Investment Advisory firm - (3/27/2018 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

Wisconsin
(12/9/2021)

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 65

Date: 10/5/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/1997

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/19/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 1/31/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/1999

General Securities Principal Examination

Current Firm

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

APPLETON CAPITAL PARTNERS, INC. | VERUS INVESTMENT ADVISORY GROUP, INC. | VERUS INVESTMENT ADVISORY GROUP | MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

CRD#: 149830 / SEC#: 801-112692

RIA

Registered Investment Advisory firm - (3/22/2018 Approved)

Wisconsin

Registered Investment Advisory firm - (3/27/2018 Terminated)

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Contact information

Main Address

3501 E Evergreen Drive Ste A, Appleton, WI 54913

Mailing Address

Phone number

(920) 882-5299

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCGLONE SUTTNER WEALTH MANAGEMENT, INC. FORM ADV PART 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	2,722
AUM (Assets Under Management)	$ 815,977,938

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

Keith F. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Forrest Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOM WEALTH MANAGEMENT GROUP, LLC

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

SII INVESTMENTS, INC.

MUTUAL SERVICE CORPORATION

FIRSTAR INVESTMENT SERVICES,INC.

SII INVESTMENTS, INC.

WHITEHOUSE & MOORE INVESTMENTS, INC.

Primary Firm SEC Registration

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2018

Series 63

Date: 10/9/1997

SIE

Date: 5/21/2015

Series 7

Date: 10/10/1997

Series 3

Date: 5/19/1993

Series 6

Date: 1/31/1991

Series 24

Date: 9/2/1999

Current Firm

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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