PV
Peggy S. Van Hook
FINANCES FOR REAL LIFE
LOMPOC, CA 93436
Some features on this profile are disabled
CRD#: 6801174
PV
Professional summary
Peggy Sue Van Hook, who also goes by Peggy Sue Walker, is a registered financial advisor currently at FINANCES FOR REAL LIFE located in Lompoc, California and LPL FINANCIAL LLC located in Lompoc, California.
Peggy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Peggy has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peggy Sue Walker
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) 03/15/2021 - Notary - State of California - Inv Rel - Start: 03/2019 - 1 Hr/Mth 2) 03/15/2021 - Finances for Real Life - Lompoc CA - Inv Rel - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start: 06/2022 - 40 Hr/Mth 3) 05/09/2023 - Finances for Real Life - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 06/01/2023 - 120 Hours Per Month/60 Hours During Securities Trading - Time Spent 75% - I provide investment advisory services through Finances for Real Life an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Peggy Sue Van Hook'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®
NoneExperience
Current
March 27, 2023 - Present
FINANCES FOR REAL LIFE
Office #1: 3612 Constellation Road, Lompoc, CA 93436RIA
CRD#: 324090
LOMPOC, CA
Current
May 4, 2021 - Present
LPL FINANCIAL LLC
Office #1: 3612 Constellation Rd, Lompoc, CA 93436RIA
BD
CRD#: 6413
LOMPOC, CA
Past
November 23, 2021 - November 7, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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
California(6/23/2021)
IAR
California(3/27/2023)
IAR
Colorado(5/5/2023)
IAR
Florida(8/18/2023)
RR
Tennessee(2/8/2022)
IAR
Virginia(4/6/2023)
RR
Virginia(10/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/4/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FINANCES FOR REAL LIFE
FINANCES FOR REAL LIFE
CRD#: 324090 / SEC#:
California
Registered Investment Advisory firm - (3/27/2023 Approved)Colorado
Registered Investment Advisory firm - (5/5/2023 Approved)Florida
Registered Investment Advisory firm - (8/18/2023 Approved)Texas
Registered Investment Advisory firm - (8/2/2023 Conditional Restricted)Virginia
Registered Investment Advisory firm - (4/6/2023 Approved)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
3612 Constellation Road, Lompoc, CA 93436
Mailing Address
Phone number
(805) 733-2700
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 317 |
| AUM (Assets Under Management) | $ 86,069,409 |
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.
