Peter Robertson: $2.9mm Complaint Against Peak Financial Advisor

Irvine, California financial advisor Peter Robertson (CRD# 1695345) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation. He is also a representative of Peak Financial.

Mr. Robertson’s BrokerCheck report discloses two investor complaints. The most recent, filed in February 2024, alleges that as a representative of Lincoln Financial Advisors Corporation, he recommended unsuitable oil and gas investments. The pending complaint alleges damages of $2,999,950.

An earlier investor complaint, filed in 2011, alleged that as a Lincoln Financial representative, he recommended unsuitable investments in variable annuity and a real estate investment trust. The complaint alleged unspecified damages and was denied by the firm.

Peak Financial’s website includes a profile of Mr. Robertson that describes him as the firm’s Founder. “[Mr.] Robertson started Peak Financial Group in 1987 and has been a Financial Planner for more than 30 years,” the profile states. “He specializes in comprehensive financial planning, estate planning, key executive planning, business owner planning, and wealth management for ultra-high-net-worth clients.”

According to the Financial Industry Regulatory Authority, Peter Robertson holds 36 years of securities industry experience. Based in Irvine, California, he has been a broker and an investment advisor with Lincoln Financial Advisors Corporation since 1998 and 1997, respectively. His past registrations include The Lincoln National Life Insurance Company (Fort Wayne, Indiana; 2001-2006) and Cigna Financial Advisors (Radnor, Pennsylvania; 1987-1998). His credentials include the passage of six securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Direct Participation Programs Representative Examination, or Series 22; the Non-Member General Securities Examination, or Series 2; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Arizona, California, Colorado, Florida, Maine, Massachusetts, Nevada, New York, Ohio, Pennsylvania, Tennessee, Texas, Utah, and Washington. (Information current as of March 16, 2024.)

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