Peggy J. Schluter
Professional summary
Peggy Johnson Schluter, CFP®, who also goes by Peggy Lynne Johnson, is a registered financial advisor currently at COZAD ASSET MANAGEMENT INC located in Champaign, Illinois.
Peggy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Peggy has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peggy Johnson Schluter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 1999 - Present
COZAD ASSET MANAGEMENT INC
Office #1: 2501 Galen Drive, Champaign, IL 61821September 1, 2009 - October 14, 2021
M HOLDINGS SECURITIES, INC.
October 18, 1991 - September 4, 2009
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
COZAD ASSET MANAGEMENT INC
CRD#: 104764 / SEC#: 801-18060
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/29/1999)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
COZAD ASSET MANAGEMENT INC
CRD#: 104764 / SEC#: 801-18060
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,424 |
| AUM (Assets Under Management) | $ 2,240,693,977 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/23/2025 | ||
| 07/26/2024 | ||
| 12/11/2023 |
Red Flags
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