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RF

Richard A. Fertig

PEAK BROKERAGE SERVICES
Redding, CT 06875
Some features on this profile are disabled
CRD#: 7037359
RF

Professional summary

Richard A Fertig, who also goes by Richard Arthur Fertig, is a registered financial professional currently at PEAK BROKERAGE SERVICES, LLC located in Redding, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2018. Richard has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Arthur Fertig

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) - BD

Click below to view Richard A Fertig'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

May 28, 2026 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 29 Giles Hill Road, Redding, CT 06875
BD
CRD#: 157045
Redding, CT
Past

March 18, 2026 - April 30, 2026

COPLEY FINANCIAL GROUP, INC.

RIA
CRD#: 283070
Fairfield, CT
Past

December 11, 2025 - December 31, 2025

DAVENPORT & ASSOCIATES, INC.

RIA
CRD#: 327796
NORWALK, CT
Past

November 14, 2024 - December 17, 2025

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
REDDING, CT
Past

November 14, 2024 - December 17, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
REDDING, CT
Past

August 21, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Redding, CT
Past

August 21, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Redding, CT
Past

July 27, 2022 - August 10, 2023

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
ORANGE, CT
Past

July 27, 2022 - August 10, 2023

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
ORANGE, CT
Past

March 26, 2019 - July 27, 2022

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SHELTON, CT
Past

November 19, 2018 - July 27, 2022

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SHELTON, CT

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/11/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/19/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/23/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PB
PEAK BROKERAGE SERVICES, LLC
BLACKRIDGE ASSET MANAGEMENT, LLC | TOP ADVISORS GROUP | PEAK BROKERAGE SERVICES, LLC

CRD#: 157045 / SEC#: , 8-68829

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999
Mailing Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999
Phone number
(561) 641-5050
Established
Georgia since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEAK REPS, LLCOWNER
COKER, KARENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PHILLIPS, DAVID LEVERTCHIEF INFORMATION SECURITY OFFICER2054858
REYNOLDS, MATTHEW MARKPRESIDENT/FINOP4077413
RUDNICK, REGINA MARYPRESIDENT/HEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381

Disclosures

Regulatory Event1

Red Flags

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Company Information

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045Redding, CT 06875

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