Tom Puentes, financial advisor Langley WA

Tom Puentes

CRD Number: 1713812
Current Firm: Peachcap Tax & Advisory, LLC

Tom Puentes (CRD# 1713812) is an Investment Advisor Representative working at Peachcap Tax & Advisory, LLC in Langley, WA and has over 36 years of experience in the finance industry.

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Company Name Location Dates Years
Peachcap Securities, Inc. Atlanta, GA Aug 2018 - Current 5
Peachcap Tax & Advisory, LLC Atlanta, GA Aug 2018 - Current 5
Unemployed Langley, WA May 2018 - Aug 2018 < 1
Kestra Investment Services, LLC Austin, TX Dec 2014 - May 2018 3
Kestra Private Wealth Services, LLC Woodland Hills, CA Dec 2014 - May 2018 3
Unemployed Langley, WA Nov 2014 - Dec 2014 < 1
Morgan Stanley Smith Barney Langley, WA Jun 2009 - Oct 2014 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1987
S66 NASAA Uniform Combined State Law Examination Jun 2015
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Tom A. Puentes
Phone Number: 404-220-8958
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    116
    MILLIONS
  • Total Number of Accounts
    565
    ACCOUNTS
  • Average Account Value
    $204,910
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, FL, GA, IL, KS, TN, TX, WA

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