NG
Noah Gauthier
PEAK WEALTH MANAGEMENT LLC
Melrose, MA
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CRD#: 7509696
NG
Professional summary
Noah Gauthier is a registered financial advisor currently at PEAK WEALTH MANAGEMENT LLC located in Melrose, Massachusetts.
Noah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Noah has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
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.
SALES OF INVESTMENT-RELATED PRODUCTS, PART-TIME OR FULL-TIME, FOR COMPANIES AFFILIATED WITH PFS INVESTMENTS INC. I MAY ALSO RECEIVE NON-INVESTMENT RELATED COMPENSATION FROM PRIMERICA CLIENT SERVICES, INC. (A CO-LOCATED AFFILIATE OF PFS INVESTMENTS INC.) FOR PART-TIME REFERRALS OF HOME SECURITY AND AUTOMATION PRODUCTS, AS WELL AS OTHER HOME RELATED SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Noah Gauthier'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
November 2, 2022 - Present
PEAK WEALTH MANAGEMENT LLC
RIA
CRD#: 281036
Melrose, MA
Past
August 2, 2022 - November 3, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
LYNN, MA
Past
March 17, 2022 - November 3, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
LYNN, MA
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".
PW
PEAK WEALTH MANAGEMENT LLC
PEAK WEALTH MANAGEMENT LLC
CRD#: 281036 / SEC#: 801-118166
RIA
Registered Investment Advisory firm - (3/5/2020 Approved)Florida
Registered Investment Advisory firm - (11/11/2019 Terminated)Maine
Registered Investment Advisory firm - (11/19/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (3/18/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (3/27/2020 Terminated)Texas
Registered Investment Advisory firm - (3/18/2020 Terminated)Vermont
Registered Investment Advisory firm - (7/18/2017 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
New Hampshire(11/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/17/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
PW
PEAK WEALTH MANAGEMENT LLC
PEAK WEALTH MANAGEMENT LLC
CRD#: 281036 / SEC#: 801-118166
RIA
Registered Investment Advisory firm - (3/5/2020 Approved)Florida
Registered Investment Advisory firm - (11/11/2019 Terminated)Maine
Registered Investment Advisory firm - (11/19/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (3/18/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (3/27/2020 Terminated)Texas
Registered Investment Advisory firm - (3/18/2020 Terminated)Vermont
Registered Investment Advisory firm - (7/18/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
20 Trafalgar Sq Suite 404, Nashua, NH 03063
Mailing Address
379 Amherst St Suite 2 Po Box 421, Nashua, NH 03063
Phone number
(603) 488-2476
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 451 |
| AUM (Assets Under Management) | $ 137,741,238 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
