EP
Emmett C. Peck
PROSPERITY FINANCIAL GROUP
San Ramon, CA 94583
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CRD#: 3052579
EP
Professional summary
Emmett Charles Peck JR, CFP® is a registered financial advisor currently at PROSPERITY FINANCIAL GROUP, INC. located in San Ramon, California and FORTUNE FINANCIAL SERVICES, INC. located in San Ramon, California.
Emmett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Emmett has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 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.
NAME OF ENTITY: NATIONAL SKI PATROL
POSITION: CUSTOMER SERVICE
DETAILS AS THE LEADING AUTHORITY OF ON-MOUNTAIN SAFETY, THE NSP IS DEDICATED TO SERVING THE PUBLIC AND OUTDOOR RECREATION INDUSTRY BY PROVIDING EDUCATION AND ACCREDITATION TO EMERGENCY CARE AND SAFETY SERVICE PROVIDERS. THE ORGANIZATION IS MADE UP OF MORE THAN 28,000 MEMBERS SERVING OVER 650 PATROLS, INCLUDING ALPINE, NORDIC, AND AUXILIARY PATROLLERS. OUR MEMBERS WORK ON BEHALF OF LOCAL SKI AND SNOWBOARD AREAS TO IMPROVE THE OVERALL EXPERIENCE FOR OUTDOOR RECREATIONALISTS. SKI PATROL IS AN ORGANIZATION THAT PROVIDES EMERGENCY MEDICAL AND RESCUE SERVICES TO PARTICIPANTS OF ON-SNOW SPORTS SUCH AS SKIING, SNOWBOARDING, CROSS-COUNTRY SKIING, ETC., EITHER AT A SKI AREA OR IN A BACK COUNTRY SETTING. PATROLS WORK TO PROMOTE SKI SAFETY, ENFORCE AREA POLICIES (WHERE APPLICABLE), AND HELP INJURED SKIERS WHEN NECESSARY. SKI PATROLLERS ALSO WORK TO SET UP THE MOUNTAIN BEFORE IT OPENS BY CONDUCTING TRAIL CHECKS, PROVIDING AVALANCHE CONTROL WORK, AND SETTING UP NECESSARY EQUIPMENT IN PREPARATION FOR THE DAY. AT THE END OF THE DAY THEY ALSO CONDUCT A SWEEP CLEARING THE MOUNTAIN FOR OFF-HOURS.
START DATE 11/1/14, 20 HOURS PER MONTH DEVOTED TO POSITION, 0 HOURS DEVOTED DURING SECURITIES TRADING, NON-INVESTMENT RELATED.
Rep is an IAR with Prosperity Financial Group. He is doing fee based investment business. In addition he will be using insurance products in the course of his business.
CRS (Client Relationship Summary) - RIA
Click below to view Emmett Charles Peck JR'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®
CFP®
Start date: 2006
Experience
Current
August 8, 2016 - Present
PROSPERITY FINANCIAL GROUP, INC.
Office #1: 2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583RIA
CRD#: 145540
San Ramon, CA
Current
August 17, 2016 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 2333 San Ramon Valley Blvd Suite 200, San Ramon, CA 94583BD
CRD#: 42150
San Ramon, CA
Past
October 1, 2012 - August 2, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BERKELEY, CA
Past
October 1, 2012 - August 2, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BERKELEY, CA
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
OAKLAND, CA
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
OAKLAND, CA
Past
February 9, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
BERKELEY, CA
Past
February 4, 1999 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
BERKELEY, CA
Past
July 17, 1998 - January 7, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 17, 1998 - January 7, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
PF
PROSPERITY FINANCIAL GROUP, INC.
ALPHAVOL CAPITAL MANAGEMENT | RCL FINANCIAL, LLC | PROSPERITY FINANCIAL GROUP, INC. | PROSPERITY FINANCIAL GROUP, INC | LILY WEALTH MANAGEMENT | FIGTREE FINANCIAL
CRD#: 145540 / SEC#: 801-100511
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (12/19/2015 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.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
IAR
California(8/8/2016)
RR
California(8/17/2016)
RR
New Mexico(1/6/2023)
RR
Oregon(1/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PROSPERITY FINANCIAL GROUP, INC.
ALPHAVOL CAPITAL MANAGEMENT | RCL FINANCIAL, LLC | PROSPERITY FINANCIAL GROUP, INC. | PROSPERITY FINANCIAL GROUP, INC | LILY WEALTH MANAGEMENT | FIGTREE FINANCIAL
CRD#: 145540 / SEC#: 801-100511
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (12/19/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 314-8500
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,202 |
| AUM (Assets Under Management) | $ 358,866,365 |
Red Flags
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Company Information
PROSPERITY FINANCIAL GROUP, INC.
CRD#: 145540San Ramon, CA 94583TRUST BUT VERIFY
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