John Peak has been an investment adviser representative at RIA Advisory Group since September 2012, and is not listed among the firm’s executive officers or direct owners.
RIA Advisory Group, LLC is a Des Moines, IA firm with $568M under management, 1,996 clients and 25 advisers across 13 offices, as of its June 2026 filing.
John Peak’s longest registration is the current one, 14 years at RIA Advisory Group since 2012. Before joining RIA Advisory Group in 2012, John Peak was registered through Ea Advisors LLC and Berthel Fisher & Company Financial Services, Inc.
- Advisor Back Office Technologies, LLC– · under a yearDes Moines, IA · Adviser representative · Firm CRD 269964
- Ea Advisors LLC– · 1 yearClive, IA · Adviser representative · Firm CRD 155818
- Berthel Fisher & Company Financial Services, Inc.– · 3 yearsClive, IA · Adviser representative · Firm CRD 13609
- Successful Resource Management, LTD.– · 1 yearUrbandale, IA · Adviser representative · Firm CRD 110317
Investment adviser representative registrations
John Peak is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2012; the most recent is Texas, in July 2026.
- IowaSince 4 September 2012
- TexasResidentSince 30 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 19 September 2006 |
| Series 7 | General Securities Representative Examination | 20 June 2006 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Thomas Peak
- CRD
- 4489356
- Firm
- RIA Advisory Group · CRD 152566
- Registration
- Investment adviser registration
- In the industry since
- November 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does John Peak work?
John Peak is an investment adviser representative registered through RIA Advisory Group, LLC since September 2012, and is not listed among the firm’s executive officers or direct owners.
Is John Peak a financial advisor?
Yes. John Peak has a current investment-adviser registration in Iowa and Texas, through RIA Advisory Group since September 2012.
How many years of experience does John Peak have?
John Peak has 19 years in the financial industry, since November 2006, across 5 adviser firms.
What exams has John Peak passed?
John Peak has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2006.
Where did John Peak work before RIA Advisory Group?
Before RIA Advisory Group, John Peak was registered through Berthel Fisher & Company Financial Services, Inc., May 2008 to July 2011; Successful Resource Management, LTD., November 2006 to July 2008.
Is John Peak registered with FINRA?
No. John Peak has no current broker registration.
How can I verify John Peak’s record?
Search CRD 4489356 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Peak’s full registration record.
