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Peter Halliwell

Raymond James Financial Services Advisors, INC
42 Years of Experience
Smithtown, NY
4 DisclosuresBrokerSells Insurance
View SEC Summary
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Peter Halliwell is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Smithtown, NY, with 42 years of industry experience. Peter is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

95 Smithtown Blvd, Smithtown, NY, 11787

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History

Regulatory History (4)
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.
Judgment / Lien
September 2018
Customer Dispute
February 2017
Settled
Judgment / Lien
March 2014
Judgment / Lien
March 2014
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Peter sells and renews health insurance for various companies, dedicating a few hours per week. He is also an independent contractor for Hendel Wealth Management Group, spending about half his time as a financial advisor meeting with clients and providing advice.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2021 - Present · 5 yrs 3 mos
Raymond James Financial Services, INC.
September 2019 - Present · 7 yrs 1 mo
Raymond James Financial Services, INC.Broker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Ids Life Insurance CompanyBroker
May 2000 - July 2006 · 6 yrs 2 mos
Ameriprise Financial Services, INC.Broker
January 1987 - September 2019 · 32 yrs 8 mos
Life Planning INC.Broker
July 1986 - January 1987 · 6 mos
Robert W. Baird & CO. IncorporatedBroker
March 1985 - July 1986 · 1 yr 4 mos
Nml Equity Services, INC.Broker
May 1984 - July 1986 · 2 yrs 2 mos
Life Planning INC.Broker
April 1984 - April 1985 · 1 yr
State Registrations6 states
CTDEFLNCNYPA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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