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Shaun Patrick Thompson

Peak Financial Management Inc

Wellesley, MA

Cambridge, MA

CRD 5414525

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Employer firm

Peak Financial Management Inc CRD 110559

$534M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Peak Financial Management Inc

93 Worcester Street Suite 101, Wellesley, MA 02481 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-05-19
MA RA APPROVED 2017-11-07
  • TX RA
    APPROVED
    Since 2020-05-19
  • MA RA
    APPROVED
    Since 2017-11-07

Branch Locations

93 Worcester Street Suite 101, Wellesley, MA 02481 • United States

Cambridge, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Colony Group, Llc Boston MA 07/2012 07/2017
Peak Financial Management, Inc. Wellesley MA 10/2017 04/2020
Peak Financial Management, Inc. Wellesley MA 05/2020 Present
Previous Registrations
  • 2012-07-25 → 2017-08-22
    Focus Partners Wealth, Llc
    St. Louis, MO
  • 2007-10-29 → 2012-08-17
    Mintz Levin Financial Advisors Llc
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-25
  • S65 Uniform Investment Adviser Law Examination
    2007-10-25
Designations
  • Certified Financial Planner
  • Chartered Financial Analyst

View on SEC IAPD

Nearby Firms

EQUITABLE ADVISORS, LLC
FOCUS PARTNERS WEALTH, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Nearby Investors

JEFFREY CHARLES SMITH
CHRISTOPHER KARL GAFFNEY
NEEL K. TIKU

Nearby Offices

EQUITABLE ADVISORS, LLC · WELLESLEY, MA
FOCUS PARTNERS WEALTH, LLC · Wellesley, MA
FOCUS PARTNERS WEALTH, LLC · Wellessley, MA

More in Wellesley, MA

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