PM
Peter J. Marriott
WEALTHSPIRE RETIREMENT ADVISORY
Charlotte, NC 28211
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CRD#: 2886662
PM
Professional summary
Peter John Marriott, AIF® is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Charlotte, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Charlotte, North Carolina.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Peter has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 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.
Business Name: SMOKY MOUNTAIN STORAGE Investment Related: No Address: 144 MONTGOMERY ST WAYNESVILLE NC 28786 Nature of Business: Real Estate Position, Title or Relationship: Partner Start Date: 1/1/2007 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: No duties Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: SAYRA INVESTMENT COMMITTEE POSITION: Past Commodore asked to be on Investment Committee NATURE: Investment Committee for the non-profit INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2022 ADDRESS: PO Box 12840, Charleston SC 29422 DESCRIPTION: Work with other members of the investment committee on investment strategy and report to the board and members
CRS (Client Relationship Summary) - RIA
Click below to view Peter John Marriott'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®
Experience
Current
September 5, 2024 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 1901 Roxborough Road Suite 300, Charlotte, NC 28211RIA
CRD#: 121254
Charlotte, NC
Current
January 26, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211BD
CRD#: 42046
Charlotte, NC
Past
April 20, 2016 - September 5, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHARLOTTE, NC
Past
January 15, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
April 9, 2013 - June 11, 2015
TRINITY RETIREMENT SOLUTIONS, LLC.
RIA
CRD#: 166955
CHARLOTTE, NC
Past
June 23, 2006 - February 12, 2013
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
August 5, 2003 - March 14, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HUNTERSVILLE, NC
Past
May 12, 2003 - August 7, 2003
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
October 10, 2001 - May 19, 2003
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
April 26, 2000 - August 20, 2001
SYNOVUS SECURITIES, INC.
BD
CRD#: 14023
COLUMBUS, GA
Past
October 1, 1997 - May 27, 1999
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
May 5, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, 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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 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
California(2/16/2024)
RR
Georgia(6/15/2016)
RR
Iowa(1/24/2019)
RR
Michigan(11/1/2021)
RR
North Carolina(1/27/2015)
IAR
North Carolina(9/5/2024)
RR
South Carolina(1/26/2015)
IAR
South Carolina(9/12/2024)
RR
Tennessee(11/7/2016)
RR
West Virginia(3/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
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.
