Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Puentes is a registered investment advisor representative with Peachcap TAX & Advisory, LLC in Langley, WA. Tom has been in the securities industry since 1987 and has experience with a variety of firms, including Lehman Brothers Inc., Smith Barney, Harris Upham & Co., Incorporated, Citigroup Global Markets Inc., Morgan Stanley, Kestra Investment Services, LLC, and Peachcap Securities, Inc. Tom is also a board member for Pacific Northwest Ballet and Seattle Opera. Tom is a highly experienced advisor with a strong track record of success in the financial services industry.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Shares in third-party adviser fees
1
2
WA
07/02/2019 - Present
Peachcap TAX & Advisory, LLC (Langley WA)
CA
09/18/2018 - 09/29/2022
PEACHCAP SECURITIES, INC. (Camarillo CA)
CA
12/10/2014 - 05/07/2018
KESTRA INVESTMENT SERVICES, LLC (Woodland Hills CA)
WA
06/01/2009 - 11/20/2014
MORGAN STANLEY (LANGLEY WA)
WA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LANGLEY WA)
NY
07/18/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/22/1987 - 06/20/1991
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 06/22/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
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