AP
Adam S. Peltzman
CERTIOR FINANCIAL GROUP
East Norriton, PA 19401
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CRD#: 4035058
AP
Professional summary
Adam Scott Peltzman, CFP® is a registered financial advisor currently at CERTIOR FINANCIAL GROUP, LLC located in East Norriton, Pennsylvania.
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Adam has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
1. ARA PROPERTIES, LLC, START DATE: 11/16, 2006 DE KALB PIKE, EAST MORRITON, PA 19401, REAL ESTATE HOLDING COMPANY, OWNER, NOT INVESTMENT RELATED, 5 HOURS PER MONTH, < 1 HOURS PER DAY DURING TRADING HOURS. 2. HEALTH AND BENEFIT PARTNERS, LLC, START DATE: 03/01, 2006 DE KALB PIKE, EAST NORRITON, PA 19401, INSURANCE AGENCY/AGENT/OWNER, NOT INVESTMENT RELATED, 160 HOURS PER MONTH, 4 HOURS PER DAY DURING TRADING HOURS. 3. INDEPENDENT INSURANCE AGENT, SOLE PROPRIETOR, START DATE: 03/01, 2006 DE KALB PIKE, EAST NORRITON, PA 19401, INSURANCE AGENCY/AGENT/OWNER, NOT INVESTMENT RELATED, 160 HOURS PER MONTH, 4 HOURS PER DAY DURING TRADING HOURS. 4. Today is a Good Day, Start Date: 04/17/2020, 1108 Bethlehem Pike, Flourtown, PA 1931, 51c3, Non Profit, Board of Directors, Advise on volunteering, support, and fundraising, Not Investment Related, 10 Hours per month, Less than 1 Hour per day during trading hours. 5. BAJ Management, LLC., Start Date: 01/01/2021, 350 Butler Ave., Ste. 202, New Britain, PA 18901, Insurance Agency, Minorily Shareholder, Sell Insurance, Not Investment Related, Less than 1 Hour per month, Less that 1 Hour per day during trading hours. 6. SGH Brokerage, LLC., 118 York Rd, Jenkintown, PA 19046, LLC, Insurance Agency, Minorily Partner, Sell Insurance - Health Insurance, Not Investment Related, Less than 1 Hour per month, Less than 1 Hour per day during trading hours. 7. GNA Associates, LLC., Start Date: 05/01/2021, 2006 DeKalb Pike, East Norriton, PA 19401, Sell Property and Casualty Insurance - Insurance Agency, Shareholder, Refer business for home and auto manage tax returns and financial matters, Not Investment Related, Less than 10 Hours per month, Less than 1 Hour per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Scott Peltzman'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: 2004
Experience
Current
June 20, 2017 - Present
CERTIOR FINANCIAL GROUP, LLC
Office #1: 2006 Dekalb Pike, East Norriton, PA 19401RIA
CRD#: 285502
East Norriton, PA
Past
June 15, 2017 - December 31, 2022
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
East Norriton, PA
Past
March 14, 2006 - June 15, 2017
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LANSDALE, PA
Past
April 21, 2005 - June 15, 2017
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LANSDALE, PA
Past
April 7, 2003 - April 20, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
November 7, 2000 - September 3, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 16, 2000 - November 6, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
CF
CERTIOR FINANCIAL GROUP, LLC
CERTIOR FINANCIAL GROUP | THE CERTIOR GROUP | KORLEONE FINANCIAL GROUP, LLC | KANTOR FINANCIAL GROUP, LLC | DROZDOW FINANCIAL | DREYFUSS WEALTH MANAGEMENT | CERTIOR FINANCIAL GROUP, LLC
CRD#: 285502 / SEC#: 801-108506
RIA
Registered Investment Advisory firm - (10/17/2016 Approved)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
Pennsylvania(6/20/2017)
IAR
Texas(3/28/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
CERTIOR FINANCIAL GROUP, LLC
CERTIOR FINANCIAL GROUP | THE CERTIOR GROUP | KORLEONE FINANCIAL GROUP, LLC | KANTOR FINANCIAL GROUP, LLC | DROZDOW FINANCIAL | DREYFUSS WEALTH MANAGEMENT | CERTIOR FINANCIAL GROUP, LLC
CRD#: 285502 / SEC#: 801-108506
RIA
Registered Investment Advisory firm - (10/17/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
20104 Valley Forge Circle, King Of Prussia, PA 19406
Mailing Address
Phone number
(610) 783-7010
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,715 |
| AUM (Assets Under Management) | $ 387,975,052 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/20/2023 | ||
| 04/17/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
