Lorraine T. Chong

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CRD#: 6070604

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lorraine Teresa Chong was a registered financial professional .

Lorraine is a previously registered financial professional and started their career in finance in 2012. Lorraine had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 12, 2012 - March 11, 2013

PEAK FINANCIAL MANAGEMENT INC

RIA

CRD#: 110559

WALTHAM, 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".

PEAK FINANCIAL MANAGEMENT INC

CRD#: 110559 / SEC#: 801-39737

RIA

Registered Investment Advisory firm - (8/30/1991 Approved)

Florida

Registered Investment Advisory firm - (1/22/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - (2/11/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

PEAK FINANCIAL MANAGEMENT INC

CRD#: 110559 / SEC#: 801-39737

RIA

Registered Investment Advisory firm - (8/30/1991 Approved)

Florida

Registered Investment Advisory firm - (1/22/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - (2/11/2003 Terminated)

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Contact information

Main Address

93 Worcester Street Suite 101, Wellesley, MA 02481

Mailing Address

Phone number

(781) 487-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 06 2025 PEAK FORM ADV PART 2A FINAL (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,535
AUM (Assets Under Management)	$ 452,743,722

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
09/20/2024	Cover Page	Report
03/21/2024	Cover Page	Report
03/25/2023	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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Lorraine T. Chong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEAK FINANCIAL MANAGEMENT INC

Primary Firm SEC Registration

PEAK FINANCIAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Current Firm

PEAK FINANCIAL MANAGEMENT INC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PEAK FINANCIAL MANAGEMENT INC

TRUST BUT VERIFY

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