Denise L. Healy

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CRD#: 4359179

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

Are you a "fiduciary"?

Aliases

Denise Lynn Healy

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: Independent Insurance Agent. Investment Related: No. Address: Irvine, CA. Nature: Accident and health and life insurance. Position: Insurance Agent. Start date: 02/2000. Approximate number of hours/month: 0. Approximate number of hours during trading hours: 0. Duties: Denise Healy does not devote any time specifically to insurance sales, but merely provides such services on an as-needed basis.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 10409

IRVINE, 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".

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/5/2001

General Securities Representative Examination

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

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Contact information

Main Address

201 Mission Street Suite 1825, San Francisco, CA 94105

Mailing Address

Phone number

(877) 977-2555

Established

Firm type

Fiscal year end

# of Employees

141

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PERIGON WRAP FEE PROGRAM BROCHURE (3/28/2025)

PERIGON DISCLOSURE BROCHURE AND PRIVACY POLICY (3/28/2025)

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
09/24/2024	Cover Page	Report
10/24/2023	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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Denise L. Healy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PERIGON WEALTH MANAGEMENT, LLC

BAKER & ASSOCIATES

MML INVESTORS SERVICES, LLC

BAKER & ASSOCIATES

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

PERIGON WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/2001

Series 7

Date: 3/5/2001

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PERIGON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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