Denise L. Healy
Professional summary
Being a previously registered professional could mean that this person 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.
Denise Lynn Healy, CFP®, who also goes by Denise Lynn Healy, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2001. Denise had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2021 - September 20, 2023
PERIGON WEALTH MANAGEMENT, LLC
January 28, 2011 - November 1, 2021
BAKER & ASSOCIATES
September 9, 2003 - May 3, 2011
MML INVESTORS SERVICES, LLC
March 19, 2003 - April 23, 2011
BAKER & ASSOCIATES
March 6, 2001 - May 3, 2011
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037 / SEC#: 801-62988
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037 / SEC#: 801-62988
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 09/24/2024 | ||
| 10/24/2023 |
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.
