Peter J. Pittman

ASPEN LEAF WEALTH MANAGEMENT, PBC

Golden, CO 80401

Some features on this profile are disabled

CRD#: 5943349

Professional summary

Peter John Pittman, CFP® is a registered financial advisor currently at ASPEN LEAF WEALTH MANAGEMENT, PBC located in Golden, Colorado.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Peter has worked at 4 firms and has passed the Series 66, SIE 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 John Pittman'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

March 6, 2020 - Present

ASPEN LEAF WEALTH MANAGEMENT, PBC

Office #1: 14143 Denver West Pkwy Suite 100, Golden, CO 80401

RIA

CRD#: 165676

Golden, CO

Past

August 22, 2018 - March 18, 2020

TEDSTROM WEALTH ADVISORS, INC.

RIA

CRD#: 127708

Denver, CO

Past

August 3, 2018 - January 2, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

DENVER, CO

Past

August 3, 2018 - December 5, 2019

LPL FINANCIAL LLC

CRD#: 6413

DENVER, CO

Past

August 15, 2011 - August 9, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAKEWOOD, CO

Past

July 25, 2011 - August 9, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAKEWOOD, CO

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

Colorado
(3/6/2020)

IAR

Texas
(6/17/2020)

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

IAR

Series 66

Date: 8/12/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2011

General Securities Representative Examination

Current Firm

ASPEN LEAF WEALTH MANAGEMENT, PBC

CRD#: 165676 / SEC#:

Colorado

Registered Investment Advisory firm - (1/1/2013 Approved)

Ohio

Registered Investment Advisory firm - (3/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (5/22/2015 Conditional Restricted)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

14143 Denver West Pkwy Suite 100, Golden, CO 80401

Mailing Address

Phone number

(720) 593-4660

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	307
AUM (Assets Under Management)	$ 75,525,892

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.

Similar Advisors

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Gianluca Triennese

WEDBUSH SECURITIES INC.

IAR

Littleton, CO

Douglas Applegate

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

Centennial, CO

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter J. Pittman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Pittman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASPEN LEAF WEALTH MANAGEMENT, PBC

TEDSTROM WEALTH ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/12/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/22/2011

Current Firm

ASPEN LEAF WEALTH MANAGEMENT, PBC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASPEN LEAF WEALTH MANAGEMENT, PBC

TRUST BUT VERIFY

Similar Advisors