Peter Prescott
Peter Prescott is a PFS-designated registered investment advisor at Independent Financial Group, LLC, based in San Juan Capistrano, CA, with 40 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
30950 Rancho Viejo Road, Suite 100, San Juan Capistrano, CA, 92675
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Peter is a licensed insurance agent, a CPA running his own practice, and involved in various real estate ventures including rental properties and property management. He also dedicates about half his time to his CPA practice and about 10-20% of his time to marketing under the DBA Prescott Tax & Wealth Management.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
Financial Network Investment Corporation
Financial Network Investment CorporationBroker
Aig Financial Advisors, INC.Broker
Aig Financial Advisors, INC.
Spelman & CO INC
Spelman & CO., INC.Broker
Girard Securities, INC.Broker
Colonial Investment Services, INC.Broker
The Managers Funds L.P.Broker
Touchstone Securities, INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Pacific Financial Associates, INC.Broker
Anchor National Financial Services, INC.Broker
Angeles/quinoco Securities, INC.Broker
First Realty Reserve INCBroker
State Registrations24 states
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.