JP
John T. Peak
RIA ADVISORY GROUP
The Villages, FL
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CRD#: 4489356
JP
Professional summary
John Thomas Peak JR. is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in The Villages, Florida.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. John has worked at 6 firms and has passed the Series 66 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.
John Peak Jr. is a CPA and Managing Member of John Peak Jr CPA PC
CRS (Client Relationship Summary) - RIA
Click below to view John Thomas Peak JR.'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®
NoneExperience
Current
September 4, 2012 - Present
RIA ADVISORY GROUP, LLC
Office #2: 500 Sw 7th Street Suite 204, Des Moines, IA 50309RIA
CRD#: 152566
The Villages, FL
Past
March 23, 2016 - December 31, 2016
ADVISOR BACK OFFICE TECHNOLOGIES, LLC
RIA
CRD#: 269964
DES MOINES, IA
Past
July 1, 2011 - December 31, 2012
EA ADVISORS LLC
RIA
CRD#: 155818
CLIVE, IA
Past
May 13, 2008 - July 1, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
CLIVE, IA
Past
May 13, 2008 - July 1, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CLIVE, IA
Past
November 6, 2006 - July 2, 2008
SUCCESSFUL RESOURCE MANAGEMENT, LTD.
RIA
CRD#: 110317
URBANDALE, IA
Past
June 21, 2006 - May 20, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WEST DES MOINES, IA
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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)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
Iowa(9/4/2012)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
