This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

PEAK FINANCIAL GUIDANCE LLC

Current firm class

state registeredderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jun 9, 2021

First registration

Jun 10, 2021

Dual registered

no

IAPD individual key

7063739

• Occurred

  Jun 9, 2025
  Advisor changed firm

  Douglas Lee Klein left Edward Jones for Peak Financial Guidance Llc (registered 2025-06-17)

  Form ADVobserved 5 days ago
• Occurred

  Jun 26, 2023
  Advisor changed firm

  Douglas Lee Klein left Pruco Securities, Llc for Edward Jones (registered 2023-07-07)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:43bb5b7f-2967-a8ed-7efc-908a292a4e66

First observed

Jun 10, 2021

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.