Brett W. Lapierre

Some features on this profile are disabled

CRD#: 2753213

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.

Brett William Lapierre, who also goes by Brett William Lapierre, Brett Lapierre, was a registered financial professional .

Brett is a previously registered financial professional and started their career in finance in 1996. Brett had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett William Lapierre | Brett Lapierre

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 10, 2015 - March 16, 2017

PEAK CAPITAL MANAGEMENT, LLC

RIA

CRD#: 141488

COLORADO SPRINGS, CO

Past

September 13, 2012 - November 19, 2015

CORINTHIAN INVESTMENT RESEARCH, LLC

RIA

CRD#: 164393

PARKER, CO

Past

November 28, 2006 - June 2, 2011

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

August 4, 2005 - November 21, 2006

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ENGLEWOOD, CO

Past

August 4, 2005 - November 21, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Past

March 3, 2004 - May 21, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

VALDOSTA, GA

Past

October 2, 2003 - May 21, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 27, 1998 - October 18, 2000

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

June 13, 1996 - July 14, 1998

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

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".

PEAK CAPITAL MANAGEMENT, LLC

CRD#: 141488 / SEC#: 801-69009

RIA

Registered Investment Advisory firm - (4/9/2008 Approved)

Colorado

Registered Investment Advisory firm - (4/16/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/2/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEAK CAPITAL MANAGEMENT, LLC

CRD#: 141488 / SEC#: 801-69009

RIA

Registered Investment Advisory firm - (4/9/2008 Approved)

Colorado

Registered Investment Advisory firm - (4/16/2008 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

9250 East Costilla Avenue Suite 110, Greenwood Village, CO 80112

Mailing Address

Phone number

(720) 361-4016

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEAK CAPITAL MANAGEMENT LLC FORM ADV 2A - FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	310
AUM (Assets Under Management)	$ 148,494,660

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brett W. Lapierre

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CORINTHIAN INVESTMENT RESEARCH, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

PEAK CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2004

Series 63

Date: 10/21/2003

Series 7

Date: 10/1/2003

Series 6

Date: 6/12/1996

Current Firm

PEAK CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors