RC
Roger C. Collicott
PEAK AMERICAN INVESTMENT ADVISORS
PLANO, TX 75093
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CRD#: 7021691
RC
Professional summary
Roger Curtis Collicott II, who also goes by Roger Curtis Collicott II, Sean C Collicott, Sean Collicott, is a registered financial advisor currently at PEAK AMERICAN INVESTMENT ADVISORS, INC. located in Plano, Texas.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Roger has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger Curtis Collicott Ii | Sean C Collicott | Sean Collicott
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.
Roger Curtis Collicott II serves as an Inspection Officer for the Marine Corps Reserve. He is required to provide one month, or four weeks, of service per year to the Marine Corps Reserve to achieve a Satisfactory Year annually.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Curtis Collicott II'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
August 15, 2025 - Present
PEAK AMERICAN INVESTMENT ADVISORS, INC.
Office #1: 2400 Dallas Parkway Ste 100, Plano, TX 75093RIA
CRD#: 145056
PLANO, TX
Past
August 4, 2025 - August 18, 2025
TEXAS SECURITIES, INC.
BD
CRD#: 120148
CARROLLTON, TX
Past
November 5, 2024 - April 16, 2025
LORD AND RICHARDS
RIA
CRD#: 328907
Plano, TX
Past
November 6, 2023 - January 24, 2024
BULL RUN INVESTMENT MANAGEMENT LLC
RIA
CRD#: 306763
Lewisville, TX
Past
October 20, 2023 - October 15, 2024
DEWITT AND DUNN FINANCIAL SERVICES, LLC
RIA
CRD#: 304561
ADDISON, TX
Past
July 24, 2023 - July 11, 2024
JIREH COLLICOTT FINANCIAL
RIA
CRD#: 327197
LEWISVILLE, TX
Past
October 28, 2021 - February 3, 2023
FISHER INVESTMENTS
RIA
CRD#: 107342
PLANO, TX
Past
January 2, 2019 - October 1, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CARLSBAD, CA
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".
PA
PEAK AMERICAN INVESTMENT ADVISORS, INC.
PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.
CRD#: 145056 / SEC#: 801-133891
RIA
Registered Investment Advisory firm - (7/17/2025 Approved)Arizona
Registered Investment Advisory firm - (2/18/2022 Terminated)California
Registered Investment Advisory firm - (8/20/2025 Terminated)Colorado
Registered Investment Advisory firm - (2/25/2022 Terminated)Indiana
Registered Investment Advisory firm - (1/22/2020 Terminated)Kentucky
Registered Investment Advisory firm - (9/17/2013 Terminated)Louisiana
Registered Investment Advisory firm - (9/30/2013 Terminated)Michigan
Registered Investment Advisory firm - (10/1/2013 Terminated)Mississippi
Registered Investment Advisory firm - (1/16/2020 Terminated)Nevada
Registered Investment Advisory firm - (10/21/2013 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (9/16/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/22/2025 Terminated)Tennessee
Registered Investment Advisory firm - (4/3/2019 Terminated)Texas
Registered Investment Advisory firm - (7/21/2025 Terminated)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
Texas(8/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/4/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/22/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
PA
PEAK AMERICAN INVESTMENT ADVISORS, INC.
PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.
CRD#: 145056 / SEC#: 801-133891
RIA
Registered Investment Advisory firm - (7/17/2025 Approved)Arizona
Registered Investment Advisory firm - (2/18/2022 Terminated)California
Registered Investment Advisory firm - (8/20/2025 Terminated)Colorado
Registered Investment Advisory firm - (2/25/2022 Terminated)Indiana
Registered Investment Advisory firm - (1/22/2020 Terminated)Kentucky
Registered Investment Advisory firm - (9/17/2013 Terminated)Louisiana
Registered Investment Advisory firm - (9/30/2013 Terminated)Michigan
Registered Investment Advisory firm - (10/1/2013 Terminated)Mississippi
Registered Investment Advisory firm - (1/16/2020 Terminated)Nevada
Registered Investment Advisory firm - (10/21/2013 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (9/16/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/22/2025 Terminated)Tennessee
Registered Investment Advisory firm - (4/3/2019 Terminated)Texas
Registered Investment Advisory firm - (7/21/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2400 Dallas Parkway Ste 100, Plano, TX 75093
Mailing Address
Phone number
(800) 513-3243
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 567 |
| AUM (Assets Under Management) | $ 100,382,397 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PEAK AMERICAN INVESTMENT ADVISORS, INC.
CRD#: 145056Plano, TX 75093TRUST BUT VERIFY
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