Peggy S. Sherman

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CRD#: 5217106

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.

Peggy Sue Sherman, CFP®, who also goes by Peggy Sue Moore, Peggy Sue Riley, was a registered financial professional .

Peggy is a previously registered financial professional and started their career in finance in 2006. Peggy had worked at 2 firms .

Biography

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Peggy is a graduate of Texas A&M University, where she earned a Bachelor of Business Administration and a Master's Degree in Architecture with directed studies in community/ urban design. She obtained her CERTIFIED FINANCIAL PLANNER ™ certification in 1990. 

 
Much of Peggy's community service revolves around her interest in community development and architecture, her financial expertise, and her faith. Peggy has been involved with Habitat for Humanity for over 20 years. She has also presented and lead financial counseling programs through both church and community organizations.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Tax Planning

Education Planning

Retirement Planning

Investment Planning

Estate Planning

Insurance Planning

Comprehensive Financial Planni...

Do you have an area of expertise or specialization?

Business Owners

Estate & Generational Planning...

Investment Advice with Ongoing...

Retirement Planning & Distribu...

Tax Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Aliases

Peggy Sue Moore | Peggy Sue Riley

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.

The advisor shows no other business activity.

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®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Past

March 31, 2008 - January 8, 2025

BRIAUD FINANCIAL ADVISORS

RIA

CRD#: 105638

COLLEGE STATION, TX

Past

December 6, 2006 - August 17, 2007

RONALD BLUE & CO., LLC

RIA

CRD#: 104605

MESA, AZ

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".

BRIAUD FINANCIAL ADVISORS

BRIAUD FINANCIAL ADVISORS | BRIAUD FINANCIAL PLANNING INC

CRD#: 105638 / SEC#: 801-31379

RIA

Registered Investment Advisory firm - (1/28/1988 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

Current Firm

BRIAUD FINANCIAL ADVISORS

BRIAUD FINANCIAL ADVISORS | BRIAUD FINANCIAL PLANNING INC

CRD#: 105638 / SEC#: 801-31379

RIA

Registered Investment Advisory firm - (1/28/1988 Approved)

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Contact information

Main Address

1611 Crescent Pointe Parkway, College Station, TX 77845

Mailing Address

Phone number

(979) 260-9771

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	2,083
AUM (Assets Under Management)	$ 775,328,663

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
01/29/2024	Cover Page	Report

Red Flags

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Contact information

(xxx) xxx-xxxx

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Peggy S. Sherman

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRIAUD FINANCIAL ADVISORS

RONALD BLUE & CO., LLC

Primary Firm SEC Registration

BRIAUD FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Current Firm

BRIAUD FINANCIAL ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRIAUD FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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