Ronald D. Peyton
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.
Ronald Douglas Peyton was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 3 firms and has passed the Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1990 - October 21, 2025
CALLAN
January 2, 1990 - December 9, 1998
ALPHA MANAGEMENT, INC.
August 14, 1974 - January 2, 1990
ALPHA MANAGEMENT INC.
Primary Firm SEC Registration
CALLAN
CRD#: 107687 / SEC#: 801-9219
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 000
Date: 8/7/1974
General Securities Principal ExaminationSeries 1
Date: 8/7/1974
Registered Representative ExaminationSeries 40
Date: 9/3/1975
Registered Principal ExaminationCurrent Firm
CALLAN
CRD#: 107687 / SEC#: 801-9219
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 37,782,945,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/15/2025 | ||
| 10/18/2024 | ||
| 11/28/2023 | ||
| 09/27/2022 |
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.
