Philip S. Desantis

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CRD#: 3192575

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Philip S. Desantis JR, who also goes by Philip S. De Santis Jr, Philip S. De Santis, Philip Samuel De Santis, Philip Samuel Desantis Jr, was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1999. Philip had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Philip S. De Santis Jr | Philip S. De Santis | Philip Samuel De Santis | Philip Samuel Desantis Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2024 - March 25, 2025

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

PLANO, TX

Past

February 3, 2016 - April 10, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

DALLAS, TX

Past

July 22, 2015 - December 1, 2015

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

CHICAGO, IL

Past

April 21, 2015 - December 1, 2015

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

CHICAGO, IL

Past

June 28, 2010 - January 21, 2015

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

CHICAGO, IL

Past

October 6, 2005 - May 24, 2010

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

March 26, 2001 - September 9, 2005

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

March 10, 1999 - November 9, 2000

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

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Contact information

Main Address

2400 Dallas Parkway Ste 100, Plano, TX 75093

Mailing Address

Phone number

(800) 513-3243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (10/2/2025)

Regulatory assets under management

Total Number of Accounts	567
AUM (Assets Under Management)	$ 100,382,397

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

Philip S. Desantis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

PNC CAPITAL ADVISORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

UBS ASSET MANAGEMENT (US) INC.

NORTHERN TRUST SECURITIES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

PEAK AMERICAN INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2003

Series 6

Date: 3/9/1999

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK AMERICAN INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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