Peter A. Galloway

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CRD#: 4715178

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.

Peter Allen Galloway, who also goes by Pete Galloway, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2003. Peter had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pete Galloway

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)

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®

None

Experience

Past

April 17, 2019 - July 15, 2019

HOHIMER WEALTH MANAGEMENT, LLC

RIA

CRD#: 300140

SEATTLE, WA

Past

October 3, 2011 - April 24, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

August 30, 2011 - April 24, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

Past

January 28, 2009 - November 3, 2009

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BROOKLYN, OH

Past

November 12, 2003 - February 15, 2007

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

SEATTLE, WA

Past

October 22, 2003 - February 15, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

SEATTLE, WA

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".

HOHIMER WEALTH MANAGEMENT, LLC

CRD#: 300140 / SEC#: 801-114746

RIA

Registered Investment Advisory firm - (2/28/2019 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

IAR

Series 66

Date: 9/30/2011

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: 10/21/2003

General Securities Representative Examination

Current Firm

HOHIMER WEALTH MANAGEMENT, LLC

CRD#: 300140 / SEC#: 801-114746

RIA

Registered Investment Advisory firm - (2/28/2019 Approved)

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Contact information

Main Address

One Union Square 600 University Street, Suite 2401, Seattle, WA 98101

Mailing Address

Phone number

(206) 709-5955

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOHIMER WEALTH MANAGEMENT FORM ADV 2A BROCHURE (3/31/2025)

HOHIMER WEALTH MANAGEMENT WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,229
AUM (Assets Under Management)	$ 993,696,676

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/17/2022	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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Advisor Monitoring

Firm Stability Insights

Peter A. Galloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

KEY INVESTMENT SERVICES LLC

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

HOHIMER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/21/2003

Current Firm

HOHIMER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HOHIMER WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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