Peter D. Saganski

BROGAN FINANCIAL

Knoxville, TN 37922

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CRD#: 2147188

Professional summary

Peter Daniel Saganski, who also goes by Peter D Saganski, is a registered financial advisor currently at BROGAN FINANCIAL located in Knoxville, Tennessee.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Peter has worked at 5 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter D Saganski

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.

SINCE NOVEMBER 2013, MR. SAGANSKI HAS BEEN LICENSED TO SELL LIFE, ACCIDENT AND HEALTH INSURANCE IN THE STATE OF TENNESSEE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Daniel Saganski'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

June 20, 2014 - Present

BROGAN FINANCIAL

Office #1: 2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922

RIA

CRD#: 133623

Knoxville, TN

Past

May 30, 2003 - November 4, 2004

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

August 1, 2001 - May 30, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

July 1, 1998 - May 31, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

June 13, 1991 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

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".

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 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

Tennessee
(6/20/2014)

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: 6/19/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 3/4/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/11/1991

General Securities Representative Examination

Current Firm

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 Terminated)

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Contact information

Main Address

2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922

Mailing Address

Phone number

(865) 862-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROGAN FINANCIAL ADV PART 2A (5/1/2024)

Regulatory assets under management

Total Number of Accounts	1,883
AUM (Assets Under Management)	$ 444,206,370

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

Peter D. Saganski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Daniel Saganski's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEAM INVESTOR SERVICES, INC.

DEUTSCHE BANK SECURITIES INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

Primary Firm SEC Registration

BROGAN FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2014

Series 63

Date: 7/12/1991

Series 55

Date: 3/4/1999

Series 7

Date: 6/11/1991

Current Firm

BROGAN FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROGAN FINANCIAL

TRUST BUT VERIFY

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