Peter J. Falker

FALKER INVESTMENTS

Safety Harbor, FL

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CRD#: 2515645

Professional summary

Peter James Falker is a registered financial advisor currently at FALKER INVESTMENTS INC. located in Safety Harbor, Florida.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Peter has worked at 2 firms and has passed the Series 65 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter James Falker'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®

None

Experience

Current

June 24, 1999 - Present

FALKER INVESTMENTS INC.

RIA

CRD#: 115132

Safety Harbor, FL

Past

October 31, 1996 - November 14, 1996

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

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

Florida
(6/24/1999)

IAR

Minnesota
(12/6/2013)

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: 11/15/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/16/1996

General Securities Representative Examination

Current Firm

FALKER INVESTMENTS INC.

CRD#: 115132 / SEC#:

Florida

Registered Investment Advisory firm - (8/14/1998 Approved)

Minnesota

Registered Investment Advisory firm - (2/19/1997 Approved)

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Contact information

Main Address

Safety Harbor, FL

Mailing Address

Phone number

(612) 501-4338

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	155
AUM (Assets Under Management)	$ 95,777,994

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter J. Falker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter James Falker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FALKER INVESTMENTS INC.

UBS ASSET MANAGEMENT (US) INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2011

Series 7

Date: 10/16/1996

Current Firm

FALKER INVESTMENTS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FALKER INVESTMENTS INC.

TRUST BUT VERIFY

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