Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dwayne? Claim Your ProfileDwayne Mark Peltier is a financial advisor with Raymond James & Associates, Inc. Dwayne has over 40 years of experience in the financial services industry. Dwayne specializes in providing financial planning, portfolio management, and other investment-related services to individual and institutional clients. Dwayne is registered with the Securities and Exchange Commission and is also registered with the states of California and Texas. Dwayne has a strong track record of success in helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
07/21/2009 - Present
Raymond James & Associates, Inc. (NEWPORT BEACH CA)
CA
01/02/1987 - 07/09/2009
UBS FINANCIAL SERVICES INC. (IRVINE CA)
NA
05/26/1983 - 01/12/1987
E. F. HUTTON & COMPANY INC
NA
02/01/1982 - 06/14/1983
PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED
NA
05/14/1981 - 09/07/1982
PETERSON, DIEHL & COMPANY, INC.
IA
Issued 10/04/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/1982
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1981
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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