Peter M. Ferriello
ASHWORTH WEALTH
SOUTH JORDAN, UT 84095
Some features on this profile are disabled
CRD#: 4970081
Professional summary
Peter M. Ferriello, CFP®, who also goes by Peter Michael Ferriello, is a registered financial advisor currently at ASHWORTH WEALTH, LLC located in South Jordan, Utah and OSAIC WEALTH, INC. located in South Jordan, Utah.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Peter has worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Michael Ferriello
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.
1) PETER M FERRIELLO LLC POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2020 ADDRESS: 897 W Baxter Drive, South Jordan UT 84095, United States DESCRIPTION: This is my personal corporation that I take a salary out of.I also market fixed insurance products through this entity. 2) SCHOOLS TO END POVERTY POSITION: Board Member NATURE: Non- profit organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/29/2021 ADDRESS: 35 Fawn Hill Dr, Airmont NY 10952, United States DESCRIPTION: General board member Help make decisions on direction and general operation of the organization. 3) PETER M FERRIELLO POSITION: Owner NATURE: Sole Prop INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2022 ADDRESS: 1911 E Ramona Ave, Apt. A, Salt Lake City UT 84106, United States DESCRIPTION: Own rental properties 4) ASHWORTH WEALTH LLC POSITION: Senior Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/10/2020 ADDRESS: 897 W Baxter Drive, South Jordan UT 84095, United States DESCRIPTION: Provide investment advisory services and financial planning for management fee
CRS (Client Relationship Summary) - RIA
Click below to view Peter M. Ferriello'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®
CFP®
Start date: 2019
Experience
Current
September 11, 2020 - Present
ASHWORTH WEALTH, LLC
Office #1: 897 W. Baxter Dr., South Jordan, UT 84095RIA
CRD#: 116950
SOUTH JORDAN, UT
Current
September 9, 2020 - Present
OSAIC WEALTH, INC.
Office #1: 897 W Baxter Dr, South Jordan, UT 84095RIA
BD
CRD#: 23131
SOUTH JORDAN, UT
Past
September 9, 2020 - September 10, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
May 3, 2016 - September 2, 2020
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
SALT LAKE CITY, UT
Past
May 2, 2016 - September 2, 2020
FSC SECURITIES CORPORATION
BD
CRD#: 7461
SALT LAKE CITY, UT
Past
October 1, 2012 - May 10, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
POMONA, NY
Past
October 1, 2012 - May 10, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
POMONA, NY
Past
May 2, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
POMONA, NY
Past
May 2, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
POMONA, NY
Past
April 2, 2007 - March 4, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PEARL RIVER, NY
Past
April 2, 2007 - March 4, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PEARL RIVER, NY
Past
February 28, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PEARL RIVER, NY
Past
January 5, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PEARL RIVER, NY
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".
AW
ASHWORTH WEALTH, LLC
ASHWORTH & EMPEY FINANCIAL LLC | MARTIN EMPEY FINANCIAL, INC. | EMPEY FINANCIAL, INC. | ASHWORTH WEALTH, LLC | ASHWORTH & EMPEY FINANCIAL, LLC
CRD#: 116950 / SEC#: 801-111875
RIA
Registered Investment Advisory firm - (10/19/2017 Approved)Nebraska
Registered Investment Advisory firm - (11/6/2017 Terminated)Texas
Registered Investment Advisory firm - (11/6/2017 Terminated)Utah
Registered Investment Advisory firm - (11/6/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(9/9/2020)
RR
New Jersey(9/18/2020)
RR
New York(9/9/2020)
IAR
New York(12/20/2021)
RR
North Carolina(7/24/2023)
RR
Oregon(12/20/2021)
RR
Utah(9/9/2020)
IAR
Utah(9/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ASHWORTH WEALTH, LLC
ASHWORTH & EMPEY FINANCIAL LLC | MARTIN EMPEY FINANCIAL, INC. | EMPEY FINANCIAL, INC. | ASHWORTH WEALTH, LLC | ASHWORTH & EMPEY FINANCIAL, LLC
CRD#: 116950 / SEC#: 801-111875
RIA
Registered Investment Advisory firm - (10/19/2017 Approved)Nebraska
Registered Investment Advisory firm - (11/6/2017 Terminated)Texas
Registered Investment Advisory firm - (11/6/2017 Terminated)Utah
Registered Investment Advisory firm - (11/6/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
897 W. Baxter Dr., South Jordan, UT 84095
Mailing Address
Phone number
(801) 364-4400
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 836 |
| AUM (Assets Under Management) | $ 326,094,740 |
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.
