Helen P. Sipsas

PEAK WEALTH ADVISORS

San Luis Obispo, CA 93401

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CRD#: 5048683

Professional summary

Helen P Sipsas, CFP® is a registered financial advisor currently at PEAK WEALTH ADVISORS, INC. located in San Luis Obispo, California.

Helen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Helen has worked at 3 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen P Sipsas'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^®

Certified Financial Planner

Start date: 2010

Experience

Current

April 24, 2009 - Present

PEAK WEALTH ADVISORS, INC.

Office #1: 1493 Higuera Street, San Luis Obispo, CA 93401

RIA

CRD#: 149922

San Luis Obispo, CA

Past

April 24, 2009 - October 20, 2010

LPL FINANCIAL LLC

CRD#: 6413

SAN LUIS OBISPO, CA

Past

July 7, 2006 - April 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN LUIS OBISPO, CA

Past

May 15, 2006 - April 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN LUIS OBISPO, CA

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

California
(4/24/2009)

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: 6/22/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/2006

General Securities Representative Examination

Current Firm

PEAK WEALTH ADVISORS, INC.

CRD#: 149922 / SEC#: 801-70067

RIA

Registered Investment Advisory firm - (1/5/2010 Terminated)

California

Registered Investment Advisory firm - (11/17/2009 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

1493 Higuera Street, San Luis Obispo, CA 93401

Mailing Address

Phone number

(805) 233-7011

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	380
AUM (Assets Under Management)	$ 86,808,845

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Helen P. Sipsas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen P Sipsas's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK WEALTH ADVISORS, INC.

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2006

Series 7

Date: 5/12/2006

Current Firm

PEAK WEALTH ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH ADVISORS, INC.

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