Jeffrey C. Smith

PEAK FINANCIAL MANAGEMENT

HUDSON, MA

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CRD#: 4163198

Professional summary

Jeffrey Charles Smith is a registered financial advisor currently at PEAK FINANCIAL MANAGEMENT INC located in Hudson, Massachusetts.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jeffrey has worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 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.

NAME OF OBA: SMITHARELLI DEVELOPMENT LLC; ADDRESS OF OBA: HUDSON, MA 01749; NATURE: REAL ESTATE; INVESTMENT RELATED: YES; TITLE WITH OBA: MANAGING MEMBER; DUTIES: PURCHASE PROPERTY; START DATE: 08/14/2025; APPROX. NUMBER OF HOURS/MONTH: 8; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Charles Smith'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®

None

Experience

Current

September 29, 2014 - Present

PEAK FINANCIAL MANAGEMENT INC

Office #2: 93 Worcester Street Suite 101, Wellesley, MA 02481

RIA

CRD#: 110559

HUDSON, MA

Past

January 14, 2010 - August 22, 2014

WELLESLEY INVESTMENT PARTNERS, LLC

RIA

CRD#: 144984

WELLESLEY, MA

Past

April 10, 2007 - November 2, 2009

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WELLESLEY HILLS, MA

Past

May 12, 2005 - December 4, 2009

BEAUMONT FINANCIAL PARTNERS LLC

RIA

CRD#: 108345

WELLESLEY HILLS, MA

Past

June 13, 2003 - March 24, 2005

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

FRAMINGHAM, MA

Past

January 17, 2001 - March 11, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

April 19, 2000 - January 17, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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 FINANCIAL MANAGEMENT INC

CRD#: 110559 / SEC#: 801-39737

RIA

Registered Investment Advisory firm - (8/30/1991 Approved)

Florida

Registered Investment Advisory firm - (1/22/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - (2/11/2003 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

Massachusetts
(6/16/2015)

IAR

Texas
(9/29/2014)

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: 1/24/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/28/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/11/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/26/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

PEAK FINANCIAL MANAGEMENT INC

CRD#: 110559 / SEC#: 801-39737

RIA

Registered Investment Advisory firm - (8/30/1991 Approved)

Florida

Registered Investment Advisory firm - (1/22/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - (2/11/2003 Terminated)

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Contact information

Main Address

93 Worcester Street Suite 101, Wellesley, MA 02481

Mailing Address

Phone number

(781) 487-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 06 2025 PEAK FORM ADV PART 2A FINAL (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,535
AUM (Assets Under Management)	$ 452,743,722

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
09/20/2024	Cover Page	Report
03/21/2024	Cover Page	Report
03/25/2023	Cover Page	Report

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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Jeffrey C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Charles Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLESLEY INVESTMENT PARTNERS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

BEAUMONT FINANCIAL PARTNERS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

PEAK FINANCIAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2003

Series 63

Date: 5/2/2000

Series 7

Date: 11/28/2000

Series 6

Date: 4/18/2000

Series 10

Date: 1/11/2002

Series 9

Date: 10/26/2001

Current Firm

PEAK FINANCIAL MANAGEMENT INC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PEAK FINANCIAL MANAGEMENT INC

TRUST BUT VERIFY

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