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CFP
PP
CFP

Philip Peloquin

Raymond James Financial Services Advisors, INC
36 Years of Experience
Boston, MA
3 DisclosuresBroker
View SEC Summary
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Philip Peloquin is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Boston, MA, with 36 years of industry experience. Philip 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

1 Beacon St. 15th Floor, Boston, MA, 02108

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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.
Financial
November 2018
Final
Financial
August 2018
Final
Customer Dispute
May 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Philip is an officer (Vice President, Associate/Employee) at Chestnut Hill Wealth Management Group, spending a few hours per week there. He also participates in a FA partnership under the DBA name Greentree Investment Group, dedicating about a quarter of his time to this activity.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
November 2022 - Present · 3 yrs 11 mos
Raymond James Financial Services, INC.Broker
November 2022 - Present · 3 yrs 11 mos
Previous Registrations
Cantella & CO., INC.
February 2016 - November 2022 · 6 yrs 9 mos
Cantella & CO., INC.Broker
February 2016 - November 2022 · 6 yrs 9 mos
UBS Financial Services INC.Broker
December 2008 - February 2016 · 7 yrs 2 mos
Citigroup Global Markets INC.Broker
July 1993 - December 2008 · 15 yrs 5 mos
Lehman Brothers INC.Broker
January 1990 - July 1993 · 3 yrs 6 mos
State Registrations31 states
AZCACOCTDEFLGAIDILINKYMAMDMEMINCNHNJNMNYOHORPARISCTXUTVAVTWIWV
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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Philip Peloquin - Financial Advisor | TrueAdvisor