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DK

Douglas L. Klein

PEAK FINANCIAL GUIDANCE LLC
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 7063739
DK

Professional summary

Douglas Lee Klein is a registered financial advisor currently at PEAK FINANCIAL GUIDANCE LLC located in Greenwood Village, Colorado.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Douglas has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Douglas Lee Klein'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®
None

Experience

Current

June 17, 2025 - Present

PEAK FINANCIAL GUIDANCE LLC

Office #1: 6312 S Fiddlers Green Circle Suite 300e, Greenwood Village, CO 80111
RIA
CRD#: 305485
Greenwood Village, CO
Past

July 7, 2023 - June 9, 2025

EDWARD JONES

RIA
CRD#: 250
DENVER, CO
Past

July 7, 2023 - June 9, 2025

EDWARD JONES

BD
CRD#: 250
DENVER, CO
Past

June 10, 2021 - June 26, 2023

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
ENGLEWOOD, CO
Past

August 21, 2019 - June 26, 2023

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ENGLEWOOD, CO
Past

April 26, 2019 - July 5, 2019

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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
Colorado
(6/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/9/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/26/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2019
Securities Industry Essentials Examination

Current Firm

PF
PEAK FINANCIAL GUIDANCE LLC
PEAK FINANCIAL GUIDANCE LLC

CRD#: 305485 / SEC#:

Colorado
Registered Investment Advisory firm - (1/9/2020 Approved)
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Contact information

Main Address
6312 S Fiddlers Green Circle Suite 300e, Greenwood Village, CO 80111
Mailing Address
Phone number
(303) 667-5117
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts501
AUM (Assets Under Management)$ 70,442,349

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

PEAK FINANCIAL GUIDANCE LLC

CRD#: 305485Greenwood Village, CO 80111

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