PR
Peggy J. Rouillier
CETERA INVESTMENT ADVISERS LLC
NASHVILLE, TN 37221
Some features on this profile are disabled
CRD#: 2198063
PR
Professional summary
Peggy Jo Rouillier, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Nashville, Tennessee and CETERA WEALTH SERVICES, LLC located in Nashville, Tennessee.
Peggy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peggy has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
PEGGY ROUILLIER; Investment Related; 237 Old Hickory Blvd, Suite 100, Nashville, TN 37221; Insurance; Owner; Start 01/1987; One hour per month with that one hour occurring during trading hours; Sales and service of insurance products including, but not limited to, Long-Term Care, Disability, Health and Residual Income. >> PEGGY J. ROUILLIER; Non-Investment Related; 237 Old HIckory Blvd., Suite 100, Nashville, TN 37221; Rental Property; Owner; Start Date 01/1998; One hour per month with no hours during trading hours; Maintain rental property. >> MISSION VALLEY PRODUCTION LLC; Non-Investment Related; 237 Old Hickory Blvd, Suite 100, Nashville, TN 37221; Film Production; Spouse; Start Date 02/2018; Two hours per month with no hours during trading hours; This is an LLC opened to receive funds from PBS. The film production is owned by Time and me. >> MISSION VALLEY MUSIC PUBLISHING; Non-Investment Related; 7242 Old Harding Pike, Nashville, TN 37221; Music Publishing; Spouse; Start Date 01/1987; Two hours per month with no hours during trading hours; Track music income, royalties, and expenses. >> NOTARY; Non-Investment Related; 7242 Old Harding Pike, Nashville, TN 37221; Notary Services; Notary Public; Start Date 06/2015; No hours per month; Notary approved in the state of Tennessee. A notary must sign and affix their seal to all documents which they certify. >> THE PEGGY J ROUILLIER LIVING TRUST U/A 10/24/1996; Non-Investment Related; Nashville, TN 37221; Other; Trustee; Start Date 10/1996; No hours per month; I am the trustee of my own living trust - Real estate deeded in trust. >> WEALTH MANAGEMENT GROUP; Investment Related; 237 Old Hickory Blvd, Suite 100, Nashville, TN 37221; Insurance & Investments; Investment Adviser; Start Date 06/2016; 160 hours per month with those 160 hours per month occurring during trading hours; Provide Financial Planning, Investment Planning, and overall financial advice.
CRS (Client Relationship Summary) - RIA
Click below to view Peggy Jo Rouillier's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1993
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 237 Old Hickory Blvd. Ste. 100, Nashville, TN 37221RIA
CRD#: 105644
NASHVILLE, TN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 237 Old Hickory Blvd. Ste. 100, Nashville, TN 37221BD
CRD#: 13572
Nashville, TN
Past
July 7, 2016 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Nashville, TN
Past
June 7, 2016 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Nashville, TN
Past
March 27, 2003 - June 7, 2016
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
NASHVILLE, TN
Past
March 25, 1998 - June 7, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NASHVILLE, TN
Past
March 16, 1992 - March 31, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/20/2025)
RR
Arizona(3/10/2025)
RR
Arkansas(7/1/2025)
RR
Florida(2/20/2025)
RR
Georgia(3/10/2025)
RR
Idaho(7/1/2025)
RR
Indiana(10/10/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Montana(3/7/2025)
RR
Nevada(7/1/2025)
RR
New Jersey(7/23/2025)
RR
New York(3/10/2025)
RR
North Carolina(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
South Carolina(3/10/2025)
RR
Tennessee(2/20/2025)
IAR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/10/2025)
RR
Virginia(3/21/2025)
RR
West Virginia(9/29/2025)
RR
Wyoming(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
