SF
Sean E. Falk
PEAK INVESTMENT ADVISORS
Germantown, MD 20874
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CRD#: 2961005
SF
Professional summary
Sean Everett Falk, who also goes by Sean E Falk, is a registered financial advisor currently at PEAK INVESTMENT ADVISORS, INC. located in Germantown, Maryland.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Sean has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean E Falk
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.
1. PEAK INSURANCE & BENEFIT SERVICES, LLC NON-INVESTMENT RELATED BUSINESS, 13216 EXECUTIVE PARK TERRACE, GERMANTOWN, MD 20874, MANAGING MEMBER/OWNER 50 HR/MO AT VARIOUS TIMES THROUGHOUT THE DAY SOMETIMES INCLUDING SECURITIES TRADING HOURS. NATURE OF THE BUSINESS IS INSURANCE AND BENEFIT SERVICES TO INDIVIDUALS, EMPLOYERS AND GROUPS. DUTIES INCLUDE SALES AND SERVICE OF NEW AND EXSISTING CLIENTELE. 2. TAX PREPARER PART-TIME ONLY DURING TAX SEASON AS NEEDED. HOURS RANGE FROM 40-80 HOURS DURING TAX SEASON. DUTIES ARE PREPARING INDIVIDUAL TAX RETURNS FOR CLIENTS TO BE REVIEWED BY A CPA. 3. SEAN FALK - RENTAL PROPERTY; INVESTMENT RELATED: NO; LOCATION: 13216 EXECUTIVE PARK TERRACE, GERMANTOWN, MD 20874; DESCRIPTION: BEGINNING 01/01/2022 SEAN FALK IS THE OWNER AND LANDLORD OF 13216 EXECUTIVE PARK TERRACE, GERMANTOWN, MD 20874.; POSITION TITLE: OWNER/LANDLORD; RESPONSIBILITIES DUTIES: THE NATURE OF THE BUSINESS IS MAINTAINING BOOKS AND RECORDS AND SCHEDULING ANY MAINTENANCE NEEDED FROM TIME TO TIME.; START DATE WITH BUSINESS: 2022-01-01; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 0; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 2
CRS (Client Relationship Summary) - RIA
Click below to view Sean Everett Falk'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
June 7, 2006 - Present
PEAK INVESTMENT ADVISORS, INC.
Office #1: 13216 Executive Park Terrace, Germantown, MD 20874RIA
CRD#: 117875
Germantown, MD
Past
December 17, 2004 - July 28, 2005
GOLDEN BENEFICIAL SECURITIES CORPORATION
BD
CRD#: 48029
HOUSTON, TX
Past
June 18, 2003 - November 11, 2004
NT SECURITIES LLC
BD
CRD#: 45694
CHICAGO, IL
Past
December 6, 1999 - June 19, 2003
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ISELIN, NJ
Past
January 1, 1998 - July 15, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Delaware(4/26/2018)
IAR
Florida(6/7/2013)
IAR
Maryland(6/7/2006)
IAR
Texas(1/27/2017)
IAR
Virginia(6/7/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PI
PEAK INVESTMENT ADVISORS, INC.
DGF INVESTMENT ADVISORS, INC. | PEAK INVESTMENT ADVISORS, INC.
CRD#: 117875 / SEC#: 801-125943
RIA
Registered Investment Advisory firm - (9/27/2023 Terminated)Delaware
Registered Investment Advisory firm - (7/27/2023 Approved)District of Columbia
Registered Investment Advisory firm - (7/14/2022 Terminated)Florida
Registered Investment Advisory firm - (9/19/2023 Approved)Maryland
Registered Investment Advisory firm - (5/26/2023 Approved)Texas
Registered Investment Advisory firm - (5/24/2023 Conditional Restricted)Virginia
Registered Investment Advisory firm - (7/19/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13216 Executive Park Terrace, Germantown, MD 20874
Mailing Address
Phone number
(240) 361-2700
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 241 |
| AUM (Assets Under Management) | $ 97,091,285 |
Red Flags
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Company Information
PEAK INVESTMENT ADVISORS, INC.
CRD#: 117875Germantown, MD 20874TRUST BUT VERIFY
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