Daniel S. Pecaut

PECAUT & CO.

Sioux City, IA 51101

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CRD#: 870480

Professional summary

Daniel Scott Pecaut is a registered financial advisor currently at PECAUT & CO. located in Sioux City, Iowa.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Daniel has worked at 1 firm and has passed the Series 63, Series 7, Series 4 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Scott Pecaut'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

January 1, 1999 - Present

PECAUT & CO.

Office #1: 401 Douglas St Suite 415, Sioux City, IA 51101

RIA

CRD#: 2997

Sioux City, IA

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".

PECAUT & CO.

PECAUT & CO. | PECAUT WEALTH MANAGEMENT

CRD#: 2997 / SEC#: 801-49498, 8-22161

RIA

Registered Investment Advisory firm - SEC (6/23/1995 Approved)

Illinois

Registered Investment Advisory firm - SEC (1/13/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (1/5/2004 Cancelled)

Terminated by SEC on 02/17/2004

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Iowa
(1/1/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/23/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/17/1986

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/1984

General Securities Principal Examination

Current Firm

PECAUT & CO.

PECAUT & CO. | PECAUT WEALTH MANAGEMENT

CRD#: 2997 / SEC#: 801-49498, 8-22161

RIA

Registered Investment Advisory firm - SEC (6/23/1995 Approved)

Illinois

Registered Investment Advisory firm - SEC (1/13/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (1/5/2004 Cancelled)

Terminated by SEC on 02/17/2004

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Contact information

Main Address

401 Douglas St, Ste 415, Sioux City, IA 51101

Mailing Address

Phone number

(712) 252-3268

Established

Iowa since 09/01/1977

Firm type

Corporation

Fiscal year end

August

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PECAUT ADV 2A/2B (11/19/2025)

Direct owners and executive officers

Name	Position	CRD#
HARTMAN, STEWART CHURCHILL	VICE PRESIDENT	2482360
PECAUT, DANIEL SCOTT	PRESIDENT	870480
WRENN, COREY JOHN	TRASURER	2263802
PECAUT, RICHARD ARLEN	CHAIRMAN OF THE BOARD	359046
SISLEY, MARK LESLIE	COO	3179974

Regulatory assets under management

Total Number of Accounts	554
AUM (Assets Under Management)	$ 381,753,129

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.

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Daniel S. Pecaut

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Scott Pecaut's CRS (Customer Relationship Summary).

Certified licenses

Experience

PECAUT & CO.

Primary Firm SEC Registration

PECAUT & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/1979

Series 7

Date: 8/18/1979

Series 4

Date: 2/17/1986

Series 24

Date: 4/26/1984

Current Firm

PECAUT & CO.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PECAUT & CO.

TRUST BUT VERIFY

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