Unclaimed Profile

Scott Philip Peters

TRADEWINDS INVESTMENT MANAGEMENT, L.P.·SAUSALITO, California

SIE, Series 3, Series 5, Series 7, Series 15, Series 24, Series 55, Series 63, Series 66Clean record29 years registeredTRADEWINDS INVESTMENT MANAGEMENT, L.P.

THREE HARBOR DRIVE, SAUSALITO, CA 94965CRD# 1414526Firm CRD# 138261

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Scott Philip Peters · SAUSALITO, CA

Registration

CRD #1414526 · TRADEWINDS INVESTMENT MANAGEMENT, L.P. · 29 years registered

Brand Profile

Not yet started

Career History

GORDIAN WEALTH ADVISORS, LLC

Jan 2016 – present

SANCTUARY WEALTH ADVISORS LLC

Oct 2015 – Dec 2015

MILL VALLEY, CA

TRADEWINDS FINANCIAL CORPORATION

Jul 1997 – Feb 2006

MILL VALLEY, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 5

Series 7

Series 15

Series 24

Series 55

Series 63

Series 66

Registration record

First registered · July 8, 1997

Years registered · 29

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TRADEWINDS INVESTMENT MANAGEMENT, L.P.

CRD 138261 · SEC 801-64991

AUM

$29M

Regulatory assets under management

Employees

5 client accounts

Services offered by TRADEWINDS INVESTMENT MANAGEMENT, L.P.

Per Form ADV

Pension consulting

Other

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at TRADEWINDS INVESTMENT MANAGEMENT, L.P. →

Introduction

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Frequently Asked Questions

What services does Scott Philip Peters offer?

Scott Philip Peters specializes in Retirement Planning. Contact their office in SAUSALITO, California for a consultation.

What are Scott Philip Peters's credentials?

Scott Philip Peters is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Scott Philip Peters located?

Scott Philip Peters is based in SAUSALITO, California, working with TRADEWINDS INVESTMENT MANAGEMENT, L.P.. Their office serves clients in the SAUSALITO metropolitan area and surrounding communities.

How does Scott Philip Peters charge for services?

Scott Philip Peters's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRADEWINDS INVESTMENT MANAGEMENT, L.P.?

TRADEWINDS INVESTMENT MANAGEMENT, L.P. has approximately 2 employees and manages $29M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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