Louis P. Patierno

PEAK PLANNING GROUP

Centennial, CO 80111

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CRD#: 2142525

Professional summary

Louis Peter Patierno JR, CFP®, ChFC®, who also goes by Pj Patierno Jr, is a registered financial advisor currently at PEAK PLANNING GROUP, LLC located in Centennial, Colorado.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Louis has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Divorce Planning

Retirement Planning

Investment Planning

Business Succession Planning

Insurance Planning

Are you a "fiduciary"?

Yes

Aliases

Pj Patierno Jr

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. . ATTORNEYTERM.COM - GREENWOOD VILLAGE, CO. INSURANCE AGENT/SALES. STARTED 11/10/2011 TO PRESENT. 20 HOURS WEEKLY, 10 DURING TRADING HOURS. 2. PEAK PLANNING GROUP LLC - ENGLEWOOD, CO. 12/2005 TO PRESENT - NON-VARIABLE INSURANCE - AGENT - 10 HOURS PER MONTH - 5 HOURS DURING TRADING HOURS - INVESTMENT RELATED 3. PPG HOMES, LLC; INVESTMENT RELATED; ENGLEWOOD, CO; 2/14/2014- PRESENT; SINGLE MEMBER LLC, SOLE OWNER AND INVESTOR, RENTAL REAL ESTATE; 10 HRS/MONTH, 5 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Peter Patierno JR'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

Start date: 1997

ChFC^®

Chartered Financial Consultant

Experience

Current

December 12, 2017 - Present

PEAK PLANNING GROUP, LLC

Office #1: 5975 South Quebec Street Suite 310, Centennial, CO 80111

RIA

CRD#: 289891

Centennial, CO

Past

June 15, 2018 - January 4, 2023

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

Denver, CO

Past

October 28, 2017 - June 15, 2018

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327

NEW YORK, NY

Past

January 2, 2009 - October 5, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREENWOOD VILLAGE, CA

Past

November 16, 2001 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

GREENWOOD VILLAGE, CO

Past

October 26, 2001 - October 5, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENWOOD VILLAGE, CO

Past

June 27, 2000 - October 29, 2001

JAMES WHEELER & CO. INVESTMENTS, INC.

CRD#: 38157

DENVER, CO

Past

April 6, 2000 - June 27, 2000

JAMES WHEELER & CO. INVESTMENTS, INC.

CRD#: 38157

DENVER, CO

Past

September 2, 1997 - March 31, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

October 11, 1991 - August 29, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

June 26, 1991 - October 18, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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 PLANNING GROUP, LLC

CRD#: 289891 / SEC#: 801-111771

RIA

Registered Investment Advisory firm - (9/29/2017 Approved)

California

Registered Investment Advisory firm - (10/11/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2018 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

Colorado
(12/12/2017)

IAR

Texas
(12/12/2017)

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: 6/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/8/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/2002

General Securities Principal Examination

Current Firm

PEAK PLANNING GROUP, LLC

CRD#: 289891 / SEC#: 801-111771

RIA

Registered Investment Advisory firm - (9/29/2017 Approved)

California

Registered Investment Advisory firm - (10/11/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2018 Terminated)

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Contact information

Main Address

5975 South Quebec Street Suite 310, Centennial, CO 80111

Mailing Address

Phone number

(303) 991-0056

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEAK PLANNING GROUP, LLC ADV PART 2A BROCHURE (4/7/2025)

WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,086
AUM (Assets Under Management)	$ 650,935,386

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Louis P. Patierno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Peter Patierno JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

SGMA CAPITAL MARKETS LIMITED

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

JAMES WHEELER & CO. INVESTMENTS, INC.

JAMES WHEELER & CO. INVESTMENTS, INC.

OSAIC FS, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

PEAK PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1991

SIE

Date: 10/1/2018

Series 7

Date: 2/1/2000

Series 6

Date: 6/24/1991

Series 51

Date: 3/8/2004

Series 24

Date: 2/8/2002

Current Firm

PEAK PLANNING GROUP, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK PLANNING GROUP, LLC

TRUST BUT VERIFY

Contact information

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