James Baker Peters
Professional Summary
James Baker Peters, who also goes by Jim Baker Peters, is a registered financial advisor currently at TRIUMPH CAPITAL MANAGEMENT located in Denver, Colorado. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Baker Peters
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TRIUMPH CAPITAL | TRIUMPH CAPITAL MANAGEMENT
Contact Information
Main Address
1610 Wynkoop Street, Suite 550, Denver, CO 80202Phone Number
(720) 399-5555# of Employees
16SEC notice filing (30 States and Territories)
Registered to provide investment advisory services in 30 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
3,605AUM (Assets Under Management)
$529,969,949Similar Advisors
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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.
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Primary Firm SEC Registration
TRIUMPH CAPITAL | TRIUMPH CAPITAL MANAGEMENT
State Registrations and Notice Filings
(2/18/2016)
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.
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CRS (Client Relationship Summary) - RIA
Click below to view James Baker Peters's CRS (Customer Relationship Summary).
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