John H. Geringer

PEAK CAPITAL MANAGEMENT

Highlands Ranch, CO

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CRD#: 4285132

Professional summary

John Henry Geringer is a registered financial advisor currently at PEAK CAPITAL MANAGEMENT, LLC located in Highlands Ranch, Colorado and SHEPHERD KAPLAN LLC located in Highlands Ranch, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 65, Series 63 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.

Geringer Group, Inc. is an S-Corp that provides professional business coaching for small business owners. The business does not provide investment advice. The objective is to help business owners build, sustain and create efficiencies specific to the owners industry and objectives. I am the Vice President. Lisa Geringer is the President. The business was formed April 9, 2015. I spend about 10 hours per week or 40 hours per month active in this business. 50% during trading hours and 50% after trading hours. The address of the business is 4517 Whitehall Lane, Highlands Ranch, CO 80126

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Henry Geringer'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®

None

Experience

Current

January 8, 2019 - Present

PEAK CAPITAL MANAGEMENT, LLC

RIA

CRD#: 141488

Highlands Ranch, CO

Current

October 7, 2020 - Present

SHEPHERD KAPLAN LLC

Office #1: 4517 Whitehall Lane, Highlands Ranch, CO 80126

RIA

CRD#: 128244

Highlands Ranch, CO

Past

November 13, 2014 - December 12, 2018

CEDRUS

RIA

CRD#: 111842

LITTLETON, CO

Past

August 31, 2001 - June 3, 2011

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

SAN DIEGO, CA

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".

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 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

Colorado
(1/8/2019)

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 65

Date: 11/12/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/21/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 Approved)

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Contact information

Main Address

53 State Street 23rd Floor, Boston, MA 02109-2820

Mailing Address

Phone number

(617) 896-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN FORM ADV PART II (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,351
AUM (Assets Under Management)	$ 9,398,575,271

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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John H. Geringer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Henry Geringer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK CAPITAL MANAGEMENT, LLC

SHEPHERD KAPLAN LLC

CEDRUS

FARMERS FINANCIAL SOLUTIONS, LLC

Primary Firm SEC Registration

SHEPHERD KAPLAN LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2014

Series 63

Date: 1/27/2001

Series 6

Date: 7/21/2001

Current Firm

SHEPHERD KAPLAN LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD KAPLAN LLC

TRUST BUT VERIFY

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