Peter Allan Haupt
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Peter Allan Haupt is an investment adviser representative with LPL Financial LLC in West Haven, CT, where they have been registered since 2023. They have worked in the securities industry since 2000 and have been registered with 3 firms, including Securities America Advisors, Inc. and National Planning Corporation ("NPC of America" in FL & NY). They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Connecticut and Texas.
Registrations & licenses
- Investment adviser:
- Connecticut, Texas
- Broker:
10 states and territories
California, Connecticut, Florida, Maine, Maryland, New Hampshire, Puerto Rico, South Carolina, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- National Planning CorporationMar 2006 – Oct 2017Milford, CT
- Securities America, Inc.Oct 2017 – Feb 2023West Haven, CT
- Securities America AdvisorsOct 2017 – Feb 2023West Haven, CT
- LPL Financial LLCFeb 2023 – no end date reportedWest Haven, CT
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
Showing 12 of 24,114 in the directory
Similar advisors in West Haven, CT
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Peter Allan Haupt has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched