John T. Garrity

PEAK WEALTH MANAGEMENT LLC

Hollis, NH

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CRD#: 4466382

Professional summary

John Thomas Garrity is a registered financial advisor currently at PEAK WEALTH MANAGEMENT LLC located in Hollis, New Hampshire.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Garrity's CRS (Customer Relationship Summary).

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

November 16, 2015 - Present

PEAK WEALTH MANAGEMENT LLC

RIA

CRD#: 281036

Hollis, NH

Past

August 15, 2006 - March 28, 2007

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

MERRIMACK, NH

Past

March 17, 2006 - October 15, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

NASHUA, NH

Past

March 16, 2006 - October 14, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NASHUA, NH

Past

April 30, 2004 - March 9, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PORTSMOUTH, NH

Past

April 30, 2004 - March 9, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PORTSMOUTH, NH

Past

March 17, 2003 - May 4, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PORTSMOUTH, NH

Past

July 9, 2002 - May 4, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 7, 2002 - June 26, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BEDFORD, NH

Past

November 28, 2001 - June 26, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 28, 2001 - June 26, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PEAK WEALTH MANAGEMENT LLC

CRD#: 281036 / SEC#: 801-118166

RIA

Registered Investment Advisory firm - (3/5/2020 Approved)

Florida

Registered Investment Advisory firm - (11/11/2019 Terminated)

Maine

Registered Investment Advisory firm - (11/19/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/18/2020 Terminated)

New Hampshire

Registered Investment Advisory firm - (3/27/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2020 Terminated)

Vermont

Registered Investment Advisory firm - (7/18/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(12/7/2015)

IAR

New Hampshire
(11/16/2015)

IAR

Texas
(4/2/2019)

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 66

Date: 1/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/15/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/27/2001

General Securities Representative Examination

Current Firm

PEAK WEALTH MANAGEMENT LLC

CRD#: 281036 / SEC#: 801-118166

RIA

Registered Investment Advisory firm - (3/5/2020 Approved)

Florida

Registered Investment Advisory firm - (11/11/2019 Terminated)

Maine

Registered Investment Advisory firm - (11/19/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/18/2020 Terminated)

New Hampshire

Registered Investment Advisory firm - (3/27/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2020 Terminated)

Vermont

Registered Investment Advisory firm - (7/18/2017 Terminated)

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Contact information

Main Address

20 Trafalgar Sq Suite 404, Nashua, NH 03063

Mailing Address

379 Amherst St Suite 2 Po Box 421, Nashua, NH 03063

Phone number

(603) 488-2476

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEAK WEALTH DISCLOSURE BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	451
AUM (Assets Under Management)	$ 137,741,238

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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Firm Stability Insights

John T. Garrity

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Garrity's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL TRUST COMPANY, FSB

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PEAK WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2002

SIE

Date: 10/14/2015

Series 31

Date: 7/15/2002

Series 7

Date: 11/27/2001

Current Firm

PEAK WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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