Ryan James Peschka
Professional Summary
Ryan James Peschka, who also goes by Ryan J Peschka, is a registered financial advisor currently at BERKELEY CAPITAL MANAGEMENT, LLC located in Ellsworth, Kansas. Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Ryan has worked at 2 firms and has passed the Series 65 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ryan J Peschka
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Current Firm
BERKELEY CAPITAL MANAGEMENT, LLC | RYAN J. PESCHKA | BERKELEY CAPITAL PARTNERS, LLC | BERKELEY CAPITAL MANAGMENT, LLC
Contact Information
Main Address
1502 Aylward Ave, Ellsworth, KS 67439Mailing Address
Po Box 237, Ellsworth, KS 67439Phone Number
(785) 472-2375# of Employees
2SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
767AUM (Assets Under Management)
$128,487,497Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 7/14/2017 |
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
BERKELEY CAPITAL MANAGEMENT, LLC | RYAN J. PESCHKA | BERKELEY CAPITAL PARTNERS, LLC | BERKELEY CAPITAL MANAGMENT, LLC
State Registrations and Notice Filings
(9/24/2009)
(7/17/2017)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2005About the Series 6 examSimilar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Ryan James Peschka's CRS (Customer Relationship Summary).
Similar Advisors
HERON BAY CAPITAL MANAGEMENT
JANNEY MONTGOMERY SCOTT LLC
SOUND WEALTH LLC
NYLIFE SECURITIES LLC