Stephan J. Giuffrida
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.
Stephan Jay Giuffrida, who also goes by Stephar Jay Giuffrida, Stephan Jay Guiffrida, was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 1998. Stephan had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2025 - May 13, 2026
PECK WEALTH MANAGEMENT, LLC
September 29, 2016 - November 16, 2017
K.C. WARD FINANCIAL
February 21, 2014 - November 7, 2014
WOODSTOCK FINANCIAL GROUP, INC.
January 10, 2011 - February 15, 2012
PFS INVESTMENTS INC.
October 9, 2007 - December 31, 2008
REGAL SECURITIES, INC.
April 10, 2006 - July 23, 2007
BROOKSTREET SECURITIES CORPORATION
November 20, 2003 - April 7, 2004
DOMESTIC SECURITIES, INC.
February 6, 2002 - August 9, 2002
RUSHMORE CAPITAL, INC.
November 7, 2001 - August 20, 2002
DOMESTIC SECURITIES, INC.
April 20, 2001 - October 17, 2001
DOMESTIC SECURITIES, INC.
May 20, 1999 - November 7, 2001
ALL-TECH DIRECT, INC.
June 12, 1998 - May 5, 1999
EMERSON BENNETT & ASSOCIATES
May 14, 1998 - June 10, 1998
WALSH MANNING SECURITIES, LLC
Primary Firm SEC Registration
PECK WEALTH MANAGEMENT, LLC
CRD#: 157407 / SEC#: 801-73091
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PECK WEALTH MANAGEMENT, LLC
CRD#: 157407 / SEC#: 801-73091
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 59 |
| AUM (Assets Under Management) | $ 157,370,960 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/21/2025 | ||
| 02/27/2025 | ||
| 11/04/2024 | ||
| 10/10/2023 |
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.
