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Ryan Michael Hampton

CRD# 4100207·Registered 2000 - 2024
Previously Registered: Being a previously registered professional could mean that Ryan 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.

Professional Summary

Ryan Michael Hampton was a registered financial advisor. Ryan was a previously registered financial professional and started their career in finance 2000 - 2024. Ryan had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 79 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

PEAKSTONE SECURITIES, LLC·CRD# 157146
BD
Chicago, IL
July 7, 2016 - September 3, 2024
SIKICH CORPORATE FINANCE LLC·CRD# 149024
BD
Naperville, IL
September 10, 2014 - June 6, 2016
CLARK DODGE & CO., INC.·CRD# 23288
BD
White Plains, NY
February 21, 2013 - August 15, 2014
ADVANCED EQUITIES, INC.·CRD# 35545
RIA
San Francisco, CA
September 20, 2011 - November 19, 2012
ADVANCED EQUITIES, INC.·CRD# 35545
BD
San Francisco, CA
April 12, 2011 - November 19, 2012
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
March 6, 2000 - September 20, 2000
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
March 6, 2000 - September 20, 2000

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Current Firm

PS
PEAKSTONE SECURITIES, LLC

PEAKSTONE SECURITIES, LLC

CRD#: 157146 / SEC#: 8-68835
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

550 West Van Buren Street Suite 1460, Chicago, IL 60607

Mailing Address

550 West Van Buren Street Suite 1460, Chicago, IL 60607

Phone Number

(312) 346-7318

Established

Illinois since 02/17/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (16 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FRIDMAN, ALEXMEMBER4580424
SLEIGH, STEPHEN ROBERTCEO, MEMBER2466141
TEMPLE, JEFFREY WILLIAMMEMBER5905932
ALVAREZ, ENRIQUECFO / FINOP4622342
BROWN, EVAN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO6563464

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2011About the Series 7 exam

Series 79 — Investment Banking Registered Representative Examination

Passed Apr 2011About the Series 79 exam

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CRS (Client Relationship Summary)

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

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