Sean E. Falk

PEAK INVESTMENT ADVISORS

Germantown, MD 20874

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CRD#: 2961005

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Everett Falk's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 7, 2006 - Present

PEAK INVESTMENT ADVISORS, INC.

Office #1: 13216 Executive Park Terrace, Germantown, MD 20874

RIA

CRD#: 117875

Germantown, MD

Past

December 17, 2004 - July 28, 2005

GOLDEN BENEFICIAL SECURITIES CORPORATION

CRD#: 48029

HOUSTON, TX

Past

June 18, 2003 - November 11, 2004

NT SECURITIES LLC

CRD#: 45694

CHICAGO, IL

Past

December 6, 1999 - June 19, 2003

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

January 1, 1998 - July 15, 1999

SIGNATOR INVESTORS, INC.

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

Georgia
(3/11/2026)

IAR

Maryland
(6/7/2006)

IAR

Texas
(1/27/2017)

IAR

Virginia
(6/7/2006)

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: 10/8/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/15/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/24/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/23/2000

General Securities Principal Examination

Current Firm

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)

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).

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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

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	232
AUM (Assets Under Management)	$ 102,685,985

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.

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Advisor Monitoring

Firm Stability Insights

Sean E. Falk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Everett Falk's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDEN BENEFICIAL SECURITIES CORPORATION

NT SECURITIES LLC

THE CONCORD EQUITY GROUP, LLC

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2005

Series 63

Date: 8/17/1998

Series 7

Date: 12/15/1998

Series 6

Date: 12/24/1997

Series 24

Date: 10/23/2000

Current Firm

PEAK INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEAK INVESTMENT ADVISORS, INC.

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