Janice S. Peebles

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CRD#: 4572619

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Janice Sue Peebles, who also goes by Janice Sue Gnau, Janice Sue Peebles, was a registered financial professional .

Janice is a previously registered financial professional and started their career in finance in 2002. Janice had worked at 4 firms and has passed the Series 66, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Janice Sue Gnau | Janice Sue Peebles

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.

ARGI FINANCIAL GROUP - PLANNING ASSISTANT TO OSJ MANAGER & FINANCIAL PLANNER - 10%.-- ARGI INVESTMENT SERVICES LLC-YES-1914 STANLEY GAULT PKWY LOUISVILLE KY 40223-FINANCIAL PLANNING/MONEY MANGEMENT-CCO-01/04/10-100HR/MO 100HR DRNG TRDNG-COMPLIANCE DIRECTOR.-- JAN PEEBLES-N-1914 STANLEY GAUET PKWY LOU, KY 40223-FIXED INSURANCE SALES-AGENT-01/01/2010-1HRS-1HRS-INSURANCE SALES.-- POA/EXECUTOR FOR HER SON-NO-LOU,KY-POWER OF ATTY FOR MILITARY SON-POA/EXECUTOR-4/2010-1/1HRS-ACT AS POA FOR SON WHEN HE IS DEPLOYED W/MILITARY OVERSEAS.-- JANICE PEEBLES NOTARY OF KY - NO - LOUISVILLE, KY 40223 - NOTARY SERVICES - NOTARY PUBLIC - 07/01/1993 - 1/1/HRS/MO - NOTARIZE PAPERS FOR CLIENTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 8, 2010 - April 24, 2023

CERITY PARTNERS OCIO LLC

RIA

CRD#: 151916

BOWLING GREEN, KY

Past

August 19, 2003 - May 31, 2013

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

LOUISVILLE, KY

Past

August 8, 2003 - May 31, 2013

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOUISVILLE, KY

Past

August 20, 2002 - August 8, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 20, 2002 - August 8, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CERITY PARTNERS OCIO LLC

ARGI INVESTMENT SERVICES | CERITY PARTNERS OCIO LLC | ARGI INVESTMENT SERVICES, LLC

CRD#: 151916 / SEC#: 801-70888

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/5/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/19/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/7/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2005

General Securities Principal Examination

Current Firm

CERITY PARTNERS OCIO LLC

ARGI INVESTMENT SERVICES | CERITY PARTNERS OCIO LLC | ARGI INVESTMENT SERVICES, LLC

CRD#: 151916 / SEC#: 801-70888

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

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Contact information

Main Address

99 Park Avenue 16th Floor, New York, NY 10016

Mailing Address

Phone number

(212) 850-4260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CP OCIO LLC ADV PART 2A (9/30/2025)

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 17,346,720,716

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/09/2025	Cover Page	Report
05/04/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Janice S. Peebles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CERITY PARTNERS OCIO LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/5/2003

Series 7

Date: 8/19/2002

Series 51

Date: 3/7/2008

Series 24

Date: 6/23/2005

Current Firm

CERITY PARTNERS OCIO LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CERITY PARTNERS OCIO LLC

TRUST BUT VERIFY

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