EP
CFP
EP
CFP

Emmett Charles Peck

27 Years of Experience
3 DisclosuresBrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningCharitable GivingEducation PlanningTax Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
656 clients
Average Client Portfolio
$547K average
Assets Under Management
$358.9M

Fee Structure

AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K2.00%
$250K - $500K1.50%
$500K - $1.0M1.25%
$1.0M - $3.0M1.00%
$3.0M - $5.0M0.90%
$5.0M - $10.0M0.80%
$10M+0.70%

Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

2333 San Ramon Valley Blvd., Suite 200, San Ramon, CA, 94583

Get directions

History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
July 2016
Customer Dispute
December 2008
Denied
Customer Dispute
April 2003
Denied
Other Business ActivitiesSells Insurance

Emmett works in customer service for the National Ski Patrol, dedicating about 10-20% of his time to this role, providing emergency medical and rescue services. He is also an IAR with Prosperity Financial Group and uses insurance products in his business.

Employment History
Current Registrations
Fortune Financial Services, INC.Broker
August 2016 - Present · 9 yrs 6 mos
Prosperity Financial Group, INC.
August 2016 - Present · 9 yrs 6 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
October 2012 - August 2016 · 3 yrs 10 mos
J.P. Morgan Securities LLC
October 2012 - August 2016 · 3 yrs 10 mos
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
February 2006 - May 2009 · 3 yrs 3 mos
Wamu Investments, INC.Broker
February 1999 - May 2009 · 10 yrs 3 mos
American Express Financial Advisors INC.Broker
July 1998 - January 1999 · 6 mos
Ids Life Insurance CompanyBroker
July 1998 - January 1999 · 6 mos
State Registrations3 states
CANMOR
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Emmett Charles Peck - Financial Advisor | TrueAdvisor