Peter James Gaughan
AIF®Professional Summary
Peter James Gaughan, AIF®, who also goes by Peter James Gaughan III, Peter James Gaughan, is a registered financial advisor currently at RETIREMENT PLANNING SOLUTIONS, LLC located in Covington, Kentucky and SILVER OAK SECURITIES, INCORPORATED located in Louisville, Kentucky. Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Peter has worked at 9 firms and has passed the Series 65, Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Peter James Gaughan Iii, Peter James Gaughan
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS
Contact Information
Main Address
3432 Stony Spring Circle, Louisville, KY 40220Phone Number
(502) 499-5668# of Employees
10SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,812AUM (Assets Under Management)
$467,035,199Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS
State Registrations and Notice Filings
(6/16/2022)
(5/27/2022)
(6/3/2022)
(7/28/2022)
(5/12/2022)
(5/31/2022)
(6/21/2022)
(5/31/2022)
(5/27/2022)
(5/25/2022)
(6/1/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Peter James Gaughan's CRS (Customer Relationship Summary).
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