Peggy J. Fisher

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CRD#: 2316338

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.

Peggy Jane Fisher, who also goes by Peggy Jane Gunza, Peggy Gunza Noone, was a registered financial professional .

Peggy is a previously registered financial professional and started their career in finance in 1993. Peggy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peggy Jane Gunza | Peggy Gunza Noone

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 9, 2018 - November 15, 2018

TORTUGA WEALTH MANAGEMENT

RIA

CRD#: 153737

TORRANCE, CA

Past

March 6, 2007 - August 23, 2018

PEGGY JANE FISHER

RIA

CRD#: 142469

TORRANCE, CA

Past

July 30, 2003 - November 12, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

TORRANCE, CA

Past

July 30, 2003 - November 12, 2018

LPL FINANCIAL LLC

CRD#: 6413

TORRANCE, CA

Past

October 24, 1998 - August 4, 2003

WADDELL & REED

RIA

CRD#: 866

TORRANCE, CA

Past

August 3, 1998 - August 4, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

December 18, 1996 - July 31, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 20, 1996 - October 3, 1996

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

April 19, 1993 - June 3, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 12, 1993 - April 2, 1993

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

TORTUGA WEALTH MANAGEMENT

TORTUGA WEALTH MANAGEMENT | TORTUGA WEALTH MANAGEMENT, INC.

CRD#: 153737 / SEC#: 801-124715

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

California

Registered Investment Advisory firm - (5/26/2022 Terminated)

Illinois

Registered Investment Advisory firm - (4/26/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/26/2022 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

IAR

Series 65

Date: 10/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/1993

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: 2/9/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2003

General Securities Principal Examination

Current Firm

TORTUGA WEALTH MANAGEMENT

TORTUGA WEALTH MANAGEMENT | TORTUGA WEALTH MANAGEMENT, INC.

CRD#: 153737 / SEC#: 801-124715

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

California

Registered Investment Advisory firm - (5/26/2022 Terminated)

Illinois

Registered Investment Advisory firm - (4/26/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/26/2022 Terminated)

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Contact information

Main Address

1957 Carson Street Suite 100, Torrance, CA 90501

Mailing Address

Phone number

(310) 935-0275

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TWM - ADV PART 2A - APPENDIX A - WRAP FEE PROGRAM BROCHURE (2/4/2025)

TWM - ADV PART 2A - FIRM BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts	507
AUM (Assets Under Management)	$ 156,006,704

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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Peggy J. Fisher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEGGY JANE FISHER

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WADDELL & REED

WADDELL & REED

LPL FINANCIAL LLC

PFS INVESTMENTS INC.

CHARLES SCHWAB & CO., INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

TORTUGA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1998

Series 63

Date: 2/16/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/9/1993

Series 24

Date: 11/21/2003

Current Firm

TORTUGA WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TORTUGA WEALTH MANAGEMENT

TRUST BUT VERIFY

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