Clint E. Pekrul

PEAK CAPITAL MANAGEMENT

Greenwood Village, CO 80112

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CRD#: 3241650

Professional summary

Clint Evan Pekrul, CFA, who also goes by Clint E Pekrul, is a registered financial advisor currently at PEAK CAPITAL MANAGEMENT, LLC located in Greenwood Village, Colorado.

Clint is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Clint has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clint E Pekrul

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 Clint Evan Pekrul'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®

CFA

Chartered Financial Analyst

Experience

Current

June 13, 2016 - Present

PEAK CAPITAL MANAGEMENT, LLC

Office #1: 9250 East Costilla Avenue Suite 430, Greenwood Village, CO 80112

RIA

CRD#: 141488

Greenwood Village, CO

Past

January 21, 2010 - March 17, 2016

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

January 9, 2006 - December 31, 2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

September 24, 2004 - March 17, 2016

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

August 5, 2004 - December 31, 2005

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

August 16, 1999 - November 15, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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 CAPITAL MANAGEMENT, LLC

CRD#: 141488 / SEC#: 801-69009

RIA

Registered Investment Advisory firm - (4/9/2008 Approved)

Colorado

Registered Investment Advisory firm - (4/16/2008 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.

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

Colorado
(6/13/2016)

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 66

Date: 9/22/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/24/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/13/1999

General Securities Representative Examination

Current Firm

PEAK CAPITAL MANAGEMENT, LLC

CRD#: 141488 / SEC#: 801-69009

RIA

Registered Investment Advisory firm - (4/9/2008 Approved)

Colorado

Registered Investment Advisory firm - (4/16/2008 Terminated)

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Contact information

Main Address

9250 East Costilla Avenue Suite 110, Greenwood Village, CO 80112

Mailing Address

Phone number

(720) 361-4016

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEAK CAPITAL MANAGEMENT LLC FORM ADV 2A - FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	310
AUM (Assets Under Management)	$ 148,494,660

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

Clint E. Pekrul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clint Evan Pekrul's CRS (Customer Relationship Summary).

Certified licenses

Experience

CURIAN CLEARING, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CURIAN CAPITAL, LLC

INVESTMENT CENTERS OF AMERICA, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PEAK CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2004

Series 65

Date: 4/4/2000

Series 63

Date: 8/26/1999

SIE

Date: 3/17/2016

Series 3

Date: 9/24/2012

Series 7

Date: 8/13/1999

Current Firm

PEAK CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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