BP
Brent A. Peddy
FOREFRONT
Rock Hill, SC
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CRD#: 2400399
BP
Professional summary
Brent Andrew Peddy is a registered financial advisor currently at FOREFRONT located in Rock Hill, South Carolina.
Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brent has worked at 8 firms and has passed the Series 66, Series 63, Series 6TO, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 4, Series 53 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.
PEDDY FARM POSITION: Owner of farm with spouse NATURE: Forestry, Fishing and Agricultural Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2013 ADDRESS: 615 Allen Peddy Loop, Henderson TN 38340, United States DESCRIPTION: Own family farm. Will rent land to be farmed.
CRS (Client Relationship Summary) - RIA
Click below to view Brent Andrew Peddy'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®
NoneExperience
Current
March 3, 2025 - Present
FOREFRONT
RIA
CRD#: 308521
Rock Hill, SC
Past
March 4, 2011 - December 10, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ROCK HILL, SC
Past
March 4, 2011 - December 10, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHARLOTTE, NC
Past
October 29, 2007 - February 25, 2011
NEXITY FINANCIAL SERVICES, INC.
RIA
CRD#: 144048
BELMONT, NC
Past
September 14, 2007 - February 25, 2011
NEXITY FINANCIAL SERVICES, INC.
BD
CRD#: 144048
BELMONT, NC
Past
June 8, 2007 - October 5, 2007
NEXITY FINANCIAL SERVICES, INC.
RIA
CRD#: 144048
BELMONT, NC
Past
March 3, 2006 - May 14, 2007
ALIGHT FINANCIAL SOLUTIONS, LLC
RIA
CRD#: 36509
CHARLOTTE, NC
Past
March 3, 2006 - May 14, 2007
ALIGHT FINANCIAL SOLUTIONS, LLC
BD
CRD#: 36509
CHARLOTTE, NC
Past
September 7, 2004 - February 6, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
CHARLOTTE, NC
Past
September 7, 2004 - February 6, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
May 21, 2002 - August 25, 2003
HARRISDIRECT LLC
RIA
CRD#: 42159
CHARLOTTE, NC
Past
July 17, 2000 - August 25, 2003
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
January 22, 1998 - July 6, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
October 29, 1993 - January 13, 1995
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)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
South Carolina(3/3/2025)
IAR
Tennessee(3/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735
Mailing Address
Phone number
(512) 617-1984
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 239,835,320 |
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.
