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Phoenix, AZ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 1999-03-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Planners Financial Services | Scottsdale | AZ | 09/1999 | Present |
| Five Peaks Financial Consulting, Inc. | Phoenix | AZ | 01/1999 | Present |
| Cm Rolfes Trust | Phoenix | NE | 03/2012 | Present |
| An Rolfes Trust | Phoenix | AZ | 03/2012 | Present |
| Five Peaks Financial Consulting, Inc. | Phoenix | AZ | 01/1999 | Present |
| Joyce Rolfes | Phoenix | AZ | 01/1999 | Present |
| Desert Botanical Garden | Phoenix | AZ | 10/2010 | Present |
| Five Peaks Financial Consulting, Inc. | Phoenix | AZ | 01/1999 | Present |
1.) FIVE PEAKS FINANCIAL CONSULTING, INC. - PRESIDENT - REGISTERED INVESTMENT ADVISOR - PHOENIX, AZ - SINCE 01/1999 - INVESTMENT RELATED 2.) FIVE PEAKS FINANCIAL CONSULTING, INC. - PRESIDENT - TAX CONSULTING - PHOENIX, AZ - SINCE 01/1999 - INVESTMENT RELATED 3.) JOYCE ROLFES - OWNER - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 01/1999 - INVESTMENT RELATED 4.) AN ROLFES TRUST - CO-TRUSTEE - ACTING IN A FIDUCIARY CAPACITY - PHOENIX, AZ - SINCE 03/2012 - INVESTMENT RELATED 5.) CM ROLFES TRUST - CO-TRUSTEE - ACTING IN A FIDUCIARY CAPACITY - PHOENIX, AZ - SINCE 03/2012 - INVESTMENT RELATED 6.) DESERT BOTANICAL GARDEN - COMMITTEE MEMBER - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - PHOENIX, AZ - SINCE 10/2010 - NOT INVESTMENT RELATED 7.) FIVE PEAKS FINANCIAL CONSULTING, INC. - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - PHOENIX, AZ - SINCE 02/1999 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-24 |
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