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SP

Sarah E. Peacock

VISTA INVESTMENT PARTNERS
Richmond, IN 47374
Some features on this profile are disabled
CRD#: 6704803
SP

Professional summary

Sarah Elizabeth Peacock, who also goes by Sarah Elizabeth Stiner, is a registered financial advisor currently at VISTA INVESTMENT PARTNERS located in Richmond, Indiana and LEVEL FOUR FINANCIAL, LLC located in Richmond, Indiana.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Sarah has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sarah Elizabeth Stiner

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. VISTA INVESTMENT PARTNERS - DBA NAME FOR BROKERAGE BUSINESS CONDUCTED THROUGH LEVEL FOUR FINANCIAL, LLC., REGISTERED REPRESENTATIVE, 20 HOURS PER MONTH DEVOTED DURING TRADING HOURS / STARTED 10/2022. INVESTMENT RELATED 2. ORANGE HORIZON WEALTH, LLC, DBA UNDER VISTA INVESTMENT RIA, STARTED 5/15/2024, DEVOTE APPROX 30 HOURS PER MONTH DURING TRADING HOURS TO THIS ENTITY, INVESTMENT RELATED, MINORITY OWNER, BOOKKEEPER, ADMIN ASSISTANT, 1 WOODSIDE DRIVE, RICHMOND IN 47374. 3. BTC ADVISOR, LLC, HOLDING COMPANY, STARTED 5/15/2024, DEVOTE APPROX 1 HOUR PER MONTH DURING TRADING HOURS TO THIS ENTITY, INVESTMENT RELATED, BOOKEEPER, ADMIN ASSISTANT, MINORITY OWNER, 1 WOODSIDE DRIVE, RICHMOND IN 47374.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Elizabeth Peacock'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

September 24, 2024 - Present

VISTA INVESTMENT PARTNERS

Office #1: One Woodside Drive, Richmond, IN 47374
RIA
CRD#: 327983
Richmond, IN
Current

October 17, 2022 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 1 Woodside Drive, Richmond, IN 47374
BD
CRD#: 25700
Richmond, IN
Past

April 30, 2020 - November 20, 2023

VISTA INVESTMENT PARTNERS LLC

RIA
CRD#: 286014
RICHMOND, IN
Past

January 2, 2018 - October 26, 2022

CANTELLA & CO., INC.

BD
CRD#: 13905
Richmond, IN
Past

September 18, 2017 - December 31, 2017

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
RICHMOND, IN

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".
VI
VISTA INVESTMENT PARTNERS
ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS

CRD#: 327983 / SEC#: 801-128904

RIA
Registered Investment Advisory firm - (10/13/2023 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(10/17/2022)
IAR
Indiana
(9/24/2024)
RR
Ohio
(10/17/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/25/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/24/2022
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/4/2021
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VISTA INVESTMENT PARTNERS
ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS

CRD#: 327983 / SEC#: 801-128904

RIA
Registered Investment Advisory firm - (10/13/2023 Approved)
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Contact information

Main Address
One Woodside Drive, Richmond, IN 47374
Mailing Address
Phone number
(765) 962-5153
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VISTA BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,427
AUM (Assets Under Management)$ 321,808,359

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.

Company Information

VISTA INVESTMENT PARTNERS

CRD#: 327983Richmond, IN 47374

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