Richard S. Winer

STEELPEAK WEALTH

Fulton, MD

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CRD#: 2317830

Professional summary

Richard Scott Winer is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Fulton, Maryland.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 5 firms and has passed the Series 63, Series 65, Series 7 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.

INDEPENDENT ISAGENIX ASSOCIATE (NON-INVESTMENT-RELATED): ISAGENIX INTERNATIONAL LLC, 2225 S. PRICE ROAD, CHANDLER, AZ 85286. ISAGENIX SELLS HEALTH AND NUTRITION PRODUCTS. AS AN INDEPENDENT ASSOCIATE, COMPENSATION IS PROVIDED FOR THE SALE OF HEALTH AND NUTRITION PRODUCTS. START DATE 01/2016, APPROXIMATELY 12 HOURS PER MONTH, NOT DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Winer'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

September 8, 2016 - Present

STEELPEAK WEALTH, LLC

RIA

CRD#: 165168

Fulton, MD

Past

November 21, 2007 - September 26, 2011

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

GREENSBURG, PA

Past

April 30, 2004 - September 30, 2016

WINER WEALTH MANAGEMENT, INC.

RIA

CRD#: 128317

WOODLAND HILLS, CA

Past

March 28, 2001 - December 31, 2001

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

May 23, 1996 - October 2, 2000

SEQUOIA INVESTMENTS, INC.

CRD#: 39341

ROSWELL, GA

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".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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

California
(9/8/2016)

IAR

Maryland
(8/9/2023)

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: 1/26/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/20/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/1996

General Securities Principal Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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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Firm Stability Insights

Richard S. Winer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Winer's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

WINER WEALTH MANAGEMENT, INC.

ASSOCIATED SECURITIES CORP.

SEQUOIA INVESTMENTS, INC.

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/26/2009

Series 65

Date: 1/20/1995

Series 7

Date: 4/26/1994

Series 24

Date: 1/31/1996

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

TRUST BUT VERIFY

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