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Detailed Report
ANANT S MEHTA
ANANT SUNDER MEHTA
CRD#: 5163181
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Investment Adviser
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Previous Broker
PEAK FINANCIAL GUIDANCE LLCCRD#: 305485 6312 S FIDDLERS GREEN CIRCLE
SUITE 300E
GREENWOOD VILLAGE, CO 80111
Registration History
200620082010201220142016201820202022202420262 FIRMS2019 - 2021 (2 years)IAPEAK FINANCIAL GUIDANCE LLC (CRD# 305485)2021 - Present (4 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2013 - 2019 (5 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2006 - 2013 (6 years)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2016 - 2019 (3 years)
License(s)

State Registrations

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Colorado 3/17/2021
Current Registration(s)
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PEAK FINANCIAL GUIDANCE LLC (CRD#:305485)
6312 S FIDDLERS GREEN CIRCLE SUITE 300E, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 3/17/2021
Previous Registration(s)
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 02/25/2019 - 03/18/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) DENVER, CO
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 02/13/2019 - 03/18/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) DENVER, CO
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 01/26/2016 - 02/19/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) GREENWOOD VILLAGE, CO
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 06/12/2013 - 02/19/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) GREENWOOD VILLAGE, CO
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 09/22/2006 - 01/17/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) ENGLEWOOD, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.