PD
Peter J. D'arruda
CAPITAL FINANCIAL ADVISORY GROUP
Apex, NC 27502
Some features on this profile are disabled
CRD#: 2756672
PD
Professional summary
Peter Jose' D'arruda, who also goes by Pete Jose D'arruda, Peter Jose Darruda, Peter Darruda, is a registered financial advisor currently at CAPITAL FINANCIAL ADVISORY GROUP, LLC located in Apex, North Carolina and FOUNDATIONS INVESTMENT ADVISORS LLC located in Apex, North Carolina.
Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Peter has worked at 14 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pete Jose D'arruda | Peter Jose Darruda | Peter Darruda
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.
FINANCIAL RADIO SHOWS OFFERED TO OTHER FINANCIAL REPS AS WELL AS CPAS AND OTHER SHOWS ON SUBJECTS OTHER THAN FINANCIAL. I spend about half my business time each week working on the show and other media related activities.
I've also been a licensed Life insurance agent in the state of North Carolina since July 1992. My insurance firm is known as Capital Financial & Insurance, LLC. I spend about 35% of my time in this capacity. I offer life insurance & annuities as a way to add proper balance to my client's portfolios and income & life planning decisions.
Foundations Investment Advisors, LLC; Scottsdale, AZ; 8/2018; refer clients for business according to solicitor's agreement.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Jose' D'arruda'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
November 27, 2012 - Present
CAPITAL FINANCIAL ADVISORY GROUP, LLC
Office #1: 1500 Town Side Drive Suite 201, Apex, NC 27502RIA
CRD#: 144374
Apex, NC
Current
October 17, 2018 - Present
FOUNDATIONS INVESTMENT ADVISORS LLC
Office #1: 1500 Town Side Drive Suite 201, Apex, NC 27502RIA
CRD#: 175083
APEX, NC
Past
July 30, 2020 - December 15, 2021
FINANCIAL GRAVITY ASSET MANAGEMENT, INC.
RIA
CRD#: 144008
Apex, NC
Past
August 23, 2016 - July 31, 2025
FREEDOM INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 126052
Apex, NC
Past
July 18, 2016 - November 8, 2016
PAYNE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 147119
Apex, NC
Past
March 17, 2010 - December 10, 2010
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
CARY, NC
Past
October 20, 2008 - December 31, 2008
CAPITAL FINANCIAL ADVISORY GROUP, LLC
RIA
CRD#: 144374
CARY, NC
Past
June 6, 2008 - August 25, 2008
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
CARY, NC
Past
March 26, 2008 - June 5, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CARY, NC
Past
February 28, 2008 - June 5, 2008
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
December 11, 2007 - February 11, 2008
CAPITAL FINANCIAL ADVISORY GROUP, LLC
RIA
CRD#: 144374
CARY, NC
Past
March 8, 2000 - December 31, 2000
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
June 28, 1999 - December 13, 1999
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
Past
August 5, 1998 - December 31, 1998
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
April 14, 1997 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
CARMEL, IN
Past
October 8, 1996 - April 14, 1997
CONSECO EQUITY SALES, INC.
BD
CRD#: 4125
CARMEL, IN
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".
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 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
North Carolina(11/27/2012)
IAR
North Carolina(10/17/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040
Mailing Address
Phone number
(480) 626-2979
Established
Firm type
Fiscal year end
# of Employees
284
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,653 |
| AUM (Assets Under Management) | $ 7,184,472,288 |
Red Flags
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Company Information
FOUNDATIONS INVESTMENT ADVISORS LLC
CRD#: 175083Apex, NC 27502TRUST BUT VERIFY
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