Nicole E. Peterkin

PETERKIN FINANCIAL

Oceanside, CA

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CRD#: 5905866

Professional summary

Nicole E Peterkin, CFP®, who also goes by Nicole Morong, Nicky Peterkin, Nicole Peterkin Morong, is a registered financial advisor currently at PETERKIN FINANCIAL, LLC located in Oceanside, California.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nicole has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole Morong | Nicky Peterkin | Nicole Peterkin Morong

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.

Real Estate Position: Landlord/Owner Nature: 18 Blake Street Investment Related: No Hours: 5 Securities Trading Hours: 5 Start Date: 07/01/2012 Address: 18 Blake Street, 2, Quincy MA 02170, United States Woodward School for Girls Position: Trustee and Treasurer Nature: Trustee and Treasurer- Woodward Investment Related: No Hours: 3 Securities Trading Hours: 0 Start Date: 12/20/2014 Address: Hancock Street, Quincy MA 02170, United States Duties: Balances budget,report on financials to the Board. Insurance Sales; investment-related; California; Insurance Agent; Start Date: 2022; Approximately 48 hrs/mo during trading hours; Sales of various insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole E Peterkin'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: 2017

Experience

Current

August 7, 2018 - Present

PETERKIN FINANCIAL, LLC

RIA

CRD#: 297241

Oceanside, CA

Past

June 29, 2018 - August 27, 2018

SECURITIES AMERICA, INC.

CRD#: 10205

BRAINTREE, MA

Past

December 5, 2016 - August 10, 2018

THE PATRIOT FINANCIAL GROUP, LLC

RIA

CRD#: 172470

Braintree, MA

Past

November 30, 2016 - July 3, 2018

LPL FINANCIAL LLC

CRD#: 6413

BRAINTREE, MA

Past

February 11, 2015 - December 5, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

BOSTON, MA

Past

May 12, 2014 - January 30, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

WALTHAM, MA

Past

July 6, 2011 - January 30, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

WALTHAM, MA

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
(9/12/2022)

IAR

Massachusetts
(8/7/2018)

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: 4/30/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/5/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PETERKIN FINANCIAL, LLC

CRD#: 297241 / SEC#:

California

Registered Investment Advisory firm - (9/12/2022 Approved)

Massachusetts

Registered Investment Advisory firm - (8/7/2018 Approved)

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Contact information

Main Address

Encinitas, CA

Mailing Address

Phone number

(508) 369-9745

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 20,227,950

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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Firm Stability Insights

Nicole E. Peterkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole E Peterkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

THE PATRIOT FINANCIAL GROUP, LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2014

Series 63

Date: 6/10/2011

SIE

Date: 8/27/2018

Series 6

Date: 7/5/2011

Current Firm

PETERKIN FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PETERKIN FINANCIAL, LLC

TRUST BUT VERIFY

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