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DP
DP

Daniel Edward Peltier

Cl Wealth Management LLC
28 Years of Experience
5 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Financial Planning & CoachingRetirement PlanningEstate PlanningInsurance PlanningInvestment Management
Cl Wealth Management LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
44 advisors
Number of Clients
2,073 clients
Average Client Portfolio
$303K average
Assets Under Management
$628.7M

Fee Structure

Minimum Investment:$25K

Location

425 N. Martingale Rd., Suite 1220, Schaumburg, IL, 60173

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History

Regulatory History (5)
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.
Regulatory
December 2018
Final
Regulatory
August 2017
Final
Customer Dispute
October 2015
Settled
Customer Dispute
September 2002
Closed-No Action
Customer Dispute
May 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cl Wealth Management LLC
January 2023 - Present · 3 yrs 1 mo
Cabot Lodge Securities LLCBroker
September 2019 - Present · 6 yrs 5 mos
Previous Registrations
Sb Advisory, LLC
January 2021 - January 2023 · 2 yrs
Ifs SecuritiesBroker
July 2018 - September 2019 · 1 yr 2 mos
Sb Advisory, LLC
April 2017 - December 2020 · 3 yrs 8 mos
Ifs SecuritiesBroker
April 2017 - October 2017 · 6 mos
Ifs Advisory, LLC
April 2017 - April 2017 · 0 mos
Raymond James & Associates, INC.Broker
August 2015 - May 2017 · 1 yr 9 mos
Raymond James & Associates, INC.
August 2015 - May 2017 · 1 yr 9 mos
RBC Capital Markets, LLC
November 2008 - September 2015 · 6 yrs 10 mos
RBC Capital Markets, LLCBroker
November 2008 - September 2015 · 6 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1997 - November 2008 · 11 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 1997 - November 2008 · 11 yrs 10 mos
State Registrations21 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.