Emmett Peck
Emmett Peck is a CFP-designated registered investment advisor at Prosperity Financial Group, INC., based in San Ramon, CA, with 28 years of industry experience. Emmett is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 612 clients with $500M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 1.50% |
| $500K - $1.0M | 1.25% |
| $1.0M - $3.0M | 1.00% |
| $3.0M - $5.0M | 0.90% |
| $5.0M - $10.0M | 0.80% |
| $10M+ | 0.70% |
Fees are negotiable and charged quarterly in advance.
Fee Estimator
Location
2333 San Ramon Valley Blvd., Suite 200, San Ramon, CA, 94583
Get directionsHistory
Regulatory History (3)
Employment Separation After Allegations
July 2016Customer Dispute
December 2008Customer Dispute
April 2003Other Business ActivitiesSells Insurance
Emmett works in customer service for the National Ski Patrol, dedicating about 10-20% of his time to this role, providing emergency medical and rescue services. He is also an IAR with Prosperity Financial Group and uses insurance products in his business.
Employment History
Current Registrations
Prosperity Financial Group, INC.
Fortune Financial Services, INC.Broker
Previous Registrations
Prosperity Financial Group, INC.
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
Wamu Investments, INC.
Wamu Investments, INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations3 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.
Exams
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