Tom Puentes has been an investment adviser representative at Peachcap Tax & Advisory since July 2019, and is not listed among the firm’s executive officers or direct owners.
Peachcap Tax & Advisory, LLC is an Atlanta, GA firm with $147M under management, 248 clients and 4 advisers across 3 offices, as of its February 2026 filing.
Tom Puentes’ longest registration was 11 years at Citigroup Global Markets Inc. (1997–2009). Before joining Peachcap Tax & Advisory in 2019, Tom Puentes was registered through Kestra Private Wealth Services, LLC and Washington Wealth Management.
- Peachcap Tax & Advisory, LLCCurrent– present · 7 yearsLangley, WA · Adviser representative · Firm CRD 158729
- Kestra Private Wealth Services, LLC– · 3 yearsLangley, WA · Adviser representative · Firm CRD 155193
- Washington Wealth Management– · under a yearLangley, WA · Adviser representative · Firm CRD 155193
- Morgan Stanley– · 5 yearsLangley, WA · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 11 yearsLangley, WA · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Tom Puentes is registered as an investment adviser representative in Washington, since July 2019.
- WashingtonSince 2 July 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 22 June 2015 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 3 October 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 1987 |
| Series 7 | General Securities Representative Examination | 19 September 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tom Abel Puentes
- CRD
- 1713812
- Firm
- Peachcap Tax & Advisory · CRD 158729
- Office
- Langley, WA
- Registration
- Investment adviser registration
- In the industry since
- March 1988
- Disciplinary history
- Not yet shown here · SEC record
Where does Tom Puentes work?
Tom Puentes is an investment adviser representative registered through Peachcap Tax & Advisory, LLC since July 2019, and is not listed among the firm’s executive officers or direct owners.
Is Tom Puentes a financial advisor?
Yes. Tom Puentes has a current investment-adviser registration in Washington, through Peachcap Tax & Advisory since July 2019.
How many years of experience does Tom Puentes have?
Tom Puentes has 38 years in the financial industry, since March 1988, across 4 adviser firms.
What exams has Tom Puentes passed?
Tom Puentes has passed 4 licensing exams: the Series 7, Series 63, Series 8 and Series 66. The earliest, the Series 7, was passed in September 1987. FINRA credited Tom Puentes with the SIE, which began in October 2018.
Where did Tom Puentes work before Peachcap Tax & Advisory?
Before Peachcap Tax & Advisory, Tom Puentes was registered through Kestra Private Wealth Services, LLC, February 2015 to May 2018; Washington Wealth Management, December 2014 to December 2014; Morgan Stanley, June 2009 to November 2014; Citigroup Global Markets Inc., July 1997 to June 2009.
Where is Tom Puentes based?
Tom Puentes’ registered office is in Langley, WA.
Is Tom Puentes registered with FINRA?
No. Tom Puentes has no current broker registration.
How can I verify Tom Puentes’ record?
Search CRD 1713812 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tom Puentes’ full registration record.
