Peter N. Espiritu
Professional summary
Peter Nicholas Espiritu, CFP®, who also goes by Peter N Espirith, Peter N Espiritu, is a registered financial advisor currently at BAKERAVENUE located in San Francisco, California.
Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Peter has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peter Nicholas Espiritu's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2024 - Present
BAKERAVENUE
Office #1: One Embarcadero Center Ste 2530, San Francisco, CA 94111November 3, 2005 - July 23, 2024
CHARLES SCHWAB & CO., INC.
August 3, 2001 - July 23, 2024
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/10/2024)
Exams
Current Firm
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,138 |
| AUM (Assets Under Management) | $ 3,771,014,366 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/05/2025 | ||
| 08/28/2024 | ||
| 04/02/2024 | ||
| 03/14/2023 |
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.
