Peter Haupt, financial advisor West Haven CT

Peter Haupt

CRD Number: 4151430
Current Firm: Securities America Advisors, Inc.

Peter Haupt (CRD# 4151430) is an Investment Advisor Representative working at Securities America Advisors, Inc. in West Haven, CT and has over 21 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America, Inc. West Haven, CT Oct 2017 - Current 4
Securities America Advisors West Haven, CT Oct 2017 - Current 4
National Planning Corporation Milford, CT Mar 2006 - Oct 2017 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2000
S65 NASAA Investment Advisors Law Examination Jul 2006
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, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Peter A. Haupt
Phone Number: 402-399-9111
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    39,299
    MILLIONS
  • Total Number of Accounts
    217,546
    ACCOUNTS
  • Average Account Value
    $180,647
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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