Allan L. Harkness

PEAK WEALTH GROUP LLC

St. Augustine, FL 32086

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CRD#: 4548900

Professional summary

Allan Lawson Harkness, who also goes by Allan Lawson Harkness, Allan Harkness, is a registered financial advisor currently at PEAK WEALTH GROUP LLC located in St. Augustine, Florida.

Allan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Allan has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allan Lawson Harkness | Allan Harkness

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.

Mr. Harkness is the owner of Highland Financial Advisors, LLC; Highland Financial Advisors, LLC is also an Insurance Agency; and serves as its President; duties are managerial and hours worked are between 10-20 per month. Harkness performs his duties predominantly in Florida and Georgia, and he travels to other locations where registered investment advisors or registered representatives of the firms that he is associated with are located. Mr. Harkness is a Director, Chairman, & CEO for Foundation For Legacy Planning, Inc; Start Date: 8.1.17; Estimated Income: $0; 10-25 hours per month spent on activity during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Lawson Harkness'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®

None

Experience

Current

January 6, 2012 - Present

PEAK WEALTH GROUP LLC

Office #1: 4475 Us Hwy 1 South Suite 206, St. Augustine, FL 32086

RIA

CRD#: 150003

St. Augustine, FL

Past

September 20, 2022 - August 22, 2023

QUANTUM CAPITAL, LLC

CRD#: 143530

DURHAM, NC

Past

December 4, 2020 - September 12, 2022

DEMPSEY LORD SMITH, LLC

CRD#: 141238

SAINT AUGUSTINE, FL

Past

August 9, 2011 - December 4, 2020

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Jupiter, FL

Past

November 19, 2010 - January 27, 2011

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

MCDONOUGH, GA

Past

July 17, 2009 - August 10, 2011

CAPE SECURITIES INC.

CRD#: 7072

ROSWELL, GA

Past

June 19, 2009 - December 31, 2011

PEAK WEALTH GROUP LLC

RIA

CRD#: 150003

ST. AUGUSTINE, FL

Past

September 27, 2005 - July 17, 2009

SSN ADVISORY, INC.

RIA

CRD#: 126090

ROSWELL, GA

Past

September 26, 2005 - July 17, 2009

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

ROSWELL, GA

Past

January 16, 2003 - September 26, 2005

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

ALPHARETTA, GA

Past

August 7, 2002 - September 26, 2005

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

LAKE ST. LOUIS, MO

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

Florida
(1/23/2012)

IAR

Georgia
(1/6/2012)

IAR

Missouri
(2/25/2014)

IAR

North Carolina
(12/12/2013)

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: 8/14/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/2004

General Securities Principal Examination

Current Firm

PEAK WEALTH GROUP LLC

NAME 904 | PEAKPORTFOLIO | PEAK WEALTH GROUP, LLC | PEAK WEALTH GROUP LLC | PEAK BROKERAGE SERVICES, LLC

CRD#: 150003 / SEC#:

Alabama

Registered Investment Advisory firm - (12/13/2013 Terminated)

Florida

Registered Investment Advisory firm - (1/23/2012 Approved)

Georgia

Registered Investment Advisory firm - (12/31/2011 Approved)

Missouri

Registered Investment Advisory firm - (2/3/2014 Approved)

North Carolina

Registered Investment Advisory firm - (9/18/2013 Approved)

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).

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Contact information

Main Address

4475 Us Hwy 1 South Suite 206, St. Augustine, FL 32086

Mailing Address

Phone number

(904) 679-4586

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 37,239,893

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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Advisor Monitoring

Firm Stability Insights

Allan L. Harkness

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Lawson Harkness's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUANTUM CAPITAL, LLC

DEMPSEY LORD SMITH, LLC

PEAK BROKERAGE SERVICES, LLC

CAPE INVESTMENT ADVISORY, INC.

CAPE SECURITIES INC.

PEAK WEALTH GROUP LLC

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2002

Series 24

Date: 9/30/2004

Current Firm

PEAK WEALTH GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH GROUP LLC

TRUST BUT VERIFY

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