DP
DP
Dwayne Peltier
44 Years of Experience
Newport Beach, CA
2 DisclosuresBroker
Dwayne Peltier is a registered investment advisor at Raymond James & Associates, INC., based in Newport Beach, CA, with 44 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
620 Newport Ctr Dr, Suite 900, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (2)
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Employment Separation After Allegations
June 2009Customer Dispute
June 2009Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
July 2009 - Present · 17 yrs
Raymond James & Associates, INC.
July 2009 - Present · 17 yrs
Previous Registrations
UBS Financial Services INC.
July 1989 - July 2009 · 20 yrs
UBS Financial Services INC.Broker
January 1987 - July 2009 · 22 yrs 6 mos
E. F. Hutton & Company INCBroker
May 1983 - January 1987 · 3 yrs 8 mos
Private Ledger Financial Services, IncorporatedBroker
February 1982 - June 1983 · 1 yr 4 mos
Peterson, Diehl & Company, INC.Broker
May 1981 - September 1982 · 1 yr 4 mos
State Registrations15 states
AKAZCACOFLHIILMAMENCNMNVORTXWA
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.