Peter F. Heilbron

TRACE WEALTH ADVISORS

Los Angeles, CA

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CRD#: 5102751

Professional summary

Peter Frank Heilbron is a registered financial advisor currently at TRACE WEALTH ADVISORS located in Los Angeles, California.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Peter has worked at 4 firms and has passed the Series 65, Series 63 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 Peter Frank Heilbron's CRS (Customer Relationship Summary).

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 31, 2022 - Present

TRACE WEALTH ADVISORS

RIA

CRD#: 317542

Los Angeles, CA

Past

April 22, 2019 - January 28, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

SHERMAN OAKS, CA

Past

March 20, 2009 - June 20, 2013

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

BEVERLY HILLS, CA

Past

March 20, 2009 - June 20, 2013

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BEVERLY HILLS, CA

Past

May 2, 2006 - April 14, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LOS ANGELES, CA

Past

April 13, 2006 - April 14, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LOS ANGELES, CA

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".

TRACE WEALTH ADVISORS

TRACE WEALTH ADVISORS | TRACE WEALTH ADVISORS, LLC

CRD#: 317542 / SEC#: 801-122954

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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
(1/31/2022)

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 65

Date: 4/27/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/12/2006

General Securities Representative Examination

Current Firm

TRACE WEALTH ADVISORS

TRACE WEALTH ADVISORS | TRACE WEALTH ADVISORS, LLC

CRD#: 317542 / SEC#: 801-122954

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

Los Angeles, CA

Mailing Address

2934 1/2 Beverly Glen Circle, Los Angeles, CA 90077

Phone number

(310) 569-4534

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A - APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/27/2025)

TRACE WEALTH ADVISORS LLC DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	61
AUM (Assets Under Management)	$ 273,316,752

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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Peter F. Heilbron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Frank Heilbron's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

TRACE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2006

Series 63

Date: 4/20/2006

Series 7

Date: 4/12/2006

Current Firm

TRACE WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRACE WEALTH ADVISORS

TRUST BUT VERIFY

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