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RR

Richard J. Roell

PEAK FINANCIAL PARTNERS
Galena, OH
Some features on this profile are disabled
CRD#: 2147272
RR

Professional summary

Richard John Roell, ChFC® is a registered financial advisor currently at PEAK FINANCIAL PARTNERS, LLC located in Galena, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Richard has worked at 3 firms and has passed the Series 66, Series 6 and Series 26 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Roell's 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®
ChFC®

Chartered Financial Consultant

Experience

Current

January 11, 2017 - Present

PEAK FINANCIAL PARTNERS, LLC

RIA
CRD#: 147345
Galena, OH
Past

July 3, 2008 - December 31, 2016

PEAK FINANCIAL PARTNERS, LLC

RIA
CRD#: 147345
GALENA, OH
Past

November 1, 1995 - June 21, 1996

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

January 1, 1994 - April 22, 1996

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

June 11, 1991 - December 30, 1992

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH

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
Ohio
(1/11/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/29/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 6/1/2012
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/14/2012
Investment Company Products/Variable Contracts Principal Examination

Current Firm

PF
PEAK FINANCIAL PARTNERS, LLC
PEAK FINANCIAL PARTNERS, LLC

CRD#: 147345 / SEC#:

Ohio
Registered Investment Advisory firm - (1/9/2017 Approved)
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Contact information

Main Address
Galena, OH
Mailing Address
Phone number
(614) 542-7242
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts47
AUM (Assets Under Management)$ 15,600,000

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

PEAK FINANCIAL PARTNERS, LLC

CRD#: 147345Galena, OH

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