DK
David P. Kocsis
PEAK WEALTH SOLUTIONS
Pepper Pike, OH 44124
Some features on this profile are disabled
CRD#: 4203137
DK
Professional summary
David Paul Kocsis, AIF® is a registered financial advisor currently at PEAK WEALTH SOLUTIONS located in Pepper Pike, Ohio and OSAIC WEALTH, INC. located in Pepper Pike, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 10 firms and has passed the Series 63, SIE 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. 11/19/2013: No Business Name - Not Investment Related - At Reported Business Location(s) - Real Estate Rental - Time Spent 1% - Residential Rental Property. 2. 4/22/2015: 330 Wealth Partners - Not Investment Related - At Reported Business Location(s) - Other-Lease Holding Company - Started 04/08/2015 - 0 Hours Per Month - The sole purpose of the business entity is to hold the lease for our primary business location. 3. 1/12/2016: Britton Gallagher - Not Investment Related - 1375 East 9th Street, Cleveland, Ohio 44114 - Other-Referral - Started 10/15/15 - 1 Hour Per Month During Securities Trading - Refer clients Group Health Insurance, dental, vision, group life to another agency. 4. 03/2021 - Peak Wealth Solutions - RIA, investment related, start date =3/2021. 50% ownership, 160 hours/month 5. American Portfolios Financial Services, Inc., investment-related, Pepper Pike, OH, Securities Brokerage, Registered Representative, 07/27/2016, 16, 16. 6. PEAK WEALTH SOLUTIONS, INC. POSITION: Principal NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2014 ADDRESS: 30195 Chagrin Blvd., 360, Pepper Pike OH 44124, United States DESCRIPTION: independent RIA. Investment related business, financial planning, retirement plan consulting.
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Kocsis'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®
Experience
Current
August 1, 2016 - Present
PEAK WEALTH SOLUTIONS
Office #1: 30195 Chagrin Blvd. Suite 360, Pepper Pike, OH 44124RIA
CRD#: 127391
Pepper Pike, OH
Current
October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 30195 Chagrin Blvd Ste 360, Pepper Pike, OH 44122RIA
BD
CRD#: 23131
PEPPER PIKE, OH
Past
July 27, 2016 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
PEPPER PIKE, OH
Past
November 26, 2013 - August 11, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
PEPPER PIKE, OH
Past
November 20, 2013 - July 29, 2016
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
PEPPER PIKE, OH
Past
November 19, 2013 - August 11, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
PEPPER PIKE, OH
Past
May 23, 2008 - November 19, 2013
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
WESTLAKE, OH
Past
May 17, 2007 - November 19, 2013
VALMARK SECURITIES, INC.
BD
CRD#: 31243
WESTLAKE, OH
Past
September 14, 2004 - March 21, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
HIGHLAND HILLS, OH
Past
March 8, 2002 - June 1, 2004
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Past
October 19, 2000 - October 29, 2001
ONE ORCHARD EQUITIES, INC.
BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past
October 4, 2000 - October 7, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
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".
PW
PEAK WEALTH SOLUTIONS
D.B.A HILL & ASSOCIATES | PEAK WEALTH SOLUTIONS, INC. | PEAK WEALTH SOLUTIONS | J.R. HILL & ASSOCIATES, INC. | HILL FINANCIAL GROUP | HILL & ASSOCIATES
CRD#: 127391 / SEC#: 801-71071
RIA
Registered Investment Advisory firm - (2/25/2010 Approved)Ohio
Registered Investment Advisory firm - (3/29/2014 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(10/11/2024)
IAR
Ohio(8/1/2016)
RR
Ohio(10/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PEAK WEALTH SOLUTIONS
D.B.A HILL & ASSOCIATES | PEAK WEALTH SOLUTIONS, INC. | PEAK WEALTH SOLUTIONS | J.R. HILL & ASSOCIATES, INC. | HILL FINANCIAL GROUP | HILL & ASSOCIATES
CRD#: 127391 / SEC#: 801-71071
RIA
Registered Investment Advisory firm - (2/25/2010 Approved)Ohio
Registered Investment Advisory firm - (3/29/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30195 Chagrin Blvd. Suite 360, Pepper Pike, OH 44124
Mailing Address
Phone number
(216) 370-7887
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,040 |
| AUM (Assets Under Management) | $ 789,182,723 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
