DP
Daniel E. Peltier
CL WEALTH MANAGEMENT LLC
Eagan, MN 55121
Some features on this profile are disabled
CRD#: 2677761
DP
Professional summary
Daniel Edward Peltier, who also goes by Dan Peltier, Daniel E Peltier, Dna Peltier, is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Eagan, Minnesota and CABOT LODGE SECURITIES LLC located in Eagan, Minnesota.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Peltier | Daniel E Peltier | Dna Peltier
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.
SB Advisory, LLC, formerly IFS Advisory, LLC, Investment Related, RIA, Atlanta, GA, Financial Advisor, 4/20017, 160 hours per month, 130 hours during trading hours, build portfolios to meet the investment needs of clients.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Edward Peltier'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
January 5, 2023 - Present
CL WEALTH MANAGEMENT LLC
Office #1: 860 Blue Gentian Road Suite 200, Eagan, MN 55121RIA
CRD#: 134922
Eagan, MN
Current
September 11, 2019 - Present
CABOT LODGE SECURITIES LLC
Office #1: 860 Blue Gentian Road Suite 200, Eagan, MN 55121BD
CRD#: 159712
Eagan, MN
Past
January 13, 2021 - January 4, 2023
SB ADVISORY, LLC
RIA
CRD#: 154680
Edina, MN
Past
July 6, 2018 - September 18, 2019
IFS SECURITIES
BD
CRD#: 40375
Edina, MN
Past
April 28, 2017 - December 31, 2020
SB ADVISORY, LLC
RIA
CRD#: 154680
Hastings, MN
Past
April 26, 2017 - April 27, 2017
SB ADVISORY, LLC
RIA
CRD#: 154680
Hastings, MN
Past
April 26, 2017 - October 10, 2017
IFS SECURITIES
BD
CRD#: 40375
ATLANTA, GA
Past
August 24, 2015 - May 1, 2017
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
EDINA, MN
Past
August 24, 2015 - May 2, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
EDINA, MN
Past
November 14, 2008 - September 18, 2015
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
STILLWATER, MN
Past
November 14, 2008 - September 18, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
STILLWATER, MN
Past
January 22, 1997 - November 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ST. PAUL, MN
Past
January 22, 1997 - November 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ST. PAUL, MN
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".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/28/2021)
IAR
Alabama(1/5/2023)
RR
California(5/20/2022)
RR
Florida(6/13/2023)
RR
Georgia(9/12/2019)
IAR
Georgia(1/9/2023)
IAR
Illinois(1/24/2023)
RR
Indiana(7/27/2020)
IAR
Indiana(1/10/2023)
RR
Kentucky(5/3/2021)
IAR
Kentucky(1/20/2023)
RR
Massachusetts(9/1/2023)
RR
Michigan(1/14/2021)
IAR
Michigan(1/9/2023)
RR
Minnesota(9/18/2019)
IAR
Minnesota(1/9/2023)
RR
New Mexico(10/23/2025)
IAR
New Mexico(10/23/2025)
RR
New York(10/28/2019)
IAR
New York(1/10/2023)
IAR
North Dakota(1/12/2023)
RR
Ohio(1/12/2021)
IAR
Ohio(1/5/2023)
RR
Oklahoma(9/12/2019)
IAR
Oklahoma(1/18/2023)
RR
Rhode Island(7/28/2020)
IAR
Rhode Island(1/11/2023)
RR
South Dakota(9/20/2019)
IAR
South Dakota(1/17/2023)
RR
Texas(8/1/2020)
IAR
Texas(1/5/2023)
RR
Virginia(12/15/2021)
IAR
Washington(2/24/2023)
RR
Wisconsin(10/18/2019)
IAR
Wisconsin(1/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
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.
