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PW

Peyton B. Wingate

Some features on this profile are disabled
CRD#: 7911865
PW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peyton Benjamin Wingate, who also goes by Peyton Benjamin Windgate, Peyton Wingate, was a registered financial professional .

Peyton is a previously registered financial professional and started their career in finance in 2024. Peyton had worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peyton Benjamin Windgate | Peyton Wingate

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 2024 - December 3, 2024

BROGAN FINANCIAL

RIA
CRD#: 133623
KNOXVILLE, TN

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".
BF
BROGAN FINANCIAL
BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA
Registered Investment Advisory firm - (5/13/2008 Approved)
Tennessee
Registered Investment Advisory firm - (5/31/2008 Terminated)

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
IAR
Series 65
Date: 6/13/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/27/2024
Securities Industry Essentials Examination

Current Firm

BF
BROGAN FINANCIAL
BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA
Registered Investment Advisory firm - (5/13/2008 Approved)
Tennessee
Registered Investment Advisory firm - (5/31/2008 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922
Mailing Address
Phone number
(865) 862-6800
Established
Firm type
Fiscal year end
# of Employees
22

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROGAN FINANCIAL ADV PART 2A (5/1/2024)

Regulatory assets under management

Total Number of Accounts1,883
AUM (Assets Under Management)$ 444,206,370

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

BROGAN FINANCIAL

CRD#: 133623

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