Nicholas Wolverton has been Chief Compliance Officer and President of Peak Financial Management since January 2020, is a control person of the firm and directly owns 75% or more of it.
Peak Financial Management, Inc. is a Broomfield, CO firm with $109M under management, 156 clients and 2 advisers in one office, as of its February 2026 filing.
- – present · 11 yearsBroomfield, CO · Adviser representative · Firm CRD 281223
Investment adviser representative registrations
Nicholas Wolverton is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2015; the most recent is Texas, in April 2021.
- ColoradoSince 29 September 2015
- TexasResidentSince 27 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 August 2015 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Nicholas James Wolverton
- CRD
- 6547199
- Firm
- Peak Financial Management · CRD 281223
- Role
- Chief Compliance Officer and President
- Office
- 10901 W. 120TH AVENUE, SUITE 135, Broomfield, CO 80021
- Registration
- Investment adviser registration
- In the industry since
- September 2015
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Wolverton work?
Nicholas Wolverton has been Chief Compliance Officer and President of Peak Financial Management, Inc. since January 2020, and is a control person of the firm.
Is Nicholas Wolverton a financial advisor?
Yes. Nicholas Wolverton has a current investment-adviser registration in Colorado and Texas, through Peak Financial Management since September 2015.
How many years of experience does Nicholas Wolverton have?
Nicholas Wolverton has 11 years in the financial industry, since September 2015, across 1 adviser firm.
What exams has Nicholas Wolverton passed?
Nicholas Wolverton passed the Series 65 in August 2015.
Where is Nicholas Wolverton based?
Nicholas Wolverton’s registered office is in Broomfield, CO.
Is Nicholas Wolverton registered with FINRA?
No. Nicholas Wolverton has no current broker registration.
How can I verify Nicholas Wolverton’s record?
Search CRD 6547199 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Wolverton’s full registration record.