William W. Peng

Professional summary

William W. Peng, who also goes by Bill Peng, Wei Peng, William Wei Peng, is a registered financial advisor currently at CAPITAL MARKETS IQ, LLC located in Sudbury, Massachusetts.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. William has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Peng | Wei Peng | William Wei Peng

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) AVIVANT, LCC - NON INVESTMENT RELATED. SUDBURY, MA. NATURE OF BUSINESS: BUSINESS CONSULTING SERVICES. 100% OWNER, TITLE: OWNER/MANAGER. STARTED 12/2007. 10 HRS/WK; 1 DURING TRADING HOURS. DUTIES: MANAGE BUSINESS ACTIVITY. 2) INDEPENDENT INSURANCE AGENT - MASSACHUSETTS LIFE. SUDBURY, MA. NATURE OF BUSINESS: SELL MASSACHUSETTS LIFE, HEALTH AND ACCIDENTAL INSURANCE PRODUCTS. 100% OWNER, POSITION: INSURANCE PRODUCER/AGENT. STARTED 01/2017. 5HRS/MO AND 0HRS/MO DURING TRADING HRS. DUTIES: SELL INSURANCE PRODUCTS. 3) Y & Z FIDELITY REALTY, 3 PETREL ST, WEST ROXBURY, MA 02132 - INVESTMENT RELATED. NATURE OF BUSINESS: RESIDENTIAL REAL ESTATE SALES. 0% OWNER. POSITION: REAL ESTATE SALESPERSON. STARTED 2/21/2013. 5 HRS/WK; 1 DURING TRADING HOURS. DUTIES: RESIDENTIAL REAL ESTATE SALES. 4) AVIVANT (NANJING) INFORMATION TECHNOLOGIES CO. LTD CHINA - NON-INVESTMENT RELATED. 699-1 XUANWU BLVD, NANJING CHINA. NATURE OF BUSINESS: EDUCATIONAL CONSULTING SERVICE, CONSUMER PRODUCT BUSINESS DEVELOPMENT. 100% OWNER, POSITION: PRESIDENT. STARTED: 03/2015. 10 HRS/WK; 0 DURING TRADING HOURS. DUTIES: EDUCATIONAL CONSULTING SERVICE, CONSUMER PRODUCT BUSINESS DEVELOPMENT. 5) SUFFOLK UNIVERSITY - NON-INVESTMENT RELATED. 73 TREMONT STREET, BOSTON, MA 02108. NATURE OF BUSINESS: HIGHER EDUCATION. POSITION: ADJUNCT PROFESSOR. STARTED: 01/19/2016. 10HRS/WK; 0 DURING TRADING HOURS. DUTIES: TEACHING COLLEGE LEVEL IN FINANCE MAJOR. 6) Peng Financial Group Sudbury, MA, Investment Related, Owner, President d/b/a advisory entity Start 4/28/2020 Hours Devoted to Business: 120, Hours Devoted to Business during Market Hours: 5 7) BostonHaus Real Estate Group, LLC, Sudbury, MA, Investment related, Started 1/2025 (real estate sales and property management business), 5 hrs/wk

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William W. Peng'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

October 6, 2020 - Present

CAPITAL MARKETS IQ, LLC

Office #1: 115 Willis Road, Sudbury, MA 01776

BD

CRD#: 149777

BOSTON, MA

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".

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

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).

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

Massachusetts
(10/6/2020)

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

RR

IAR

Series 66

Date: 8/29/2010

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 3/14/2022

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 7/9/2010

General Securities Representative Examination

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

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

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William W. Peng's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX ADVISORS INC.

STONEX SECURITIES INC.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

CAPITAL MARKETS IQ, LLC

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2010

Series 7TO

Date: 3/14/2022

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2010

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

TRUST BUT VERIFY

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