Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter James Gaughan is an Investment Adviser Representative at Retirement Planning Solutions, LLC. Peter has been in the industry since 1983. Peter is licensed to offer investment advice in Colorado, Florida, Illinois, Indiana, Kentucky, New York, North Carolina, Ohio, Texas, and Wisconsin. Peter holds Series 7, 63, 65, 79, and SIE licenses. Peter works primarily with high-net-worth individuals, charitable organizations, and individuals other than high-net-worth individuals. Peter offers investment management and retirement planning services. Peter James Gaughan also owns and operates Peter J. Gaughan LLC, a non-investment related LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
KY
05/26/2022 - Present
Retirement Planning Solutions, LLC (LOUISVILLE KY)
OH
02/13/2013 - 04/28/2022
RAYMOND JAMES & ASSOCIATES, INC. (CINCINNATI OH)
KY
11/08/2007 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (COVINGTON KY)
OH
11/10/2004 - 11/14/2007
UBS FINANCIAL SERVICES INC. (CINCINNATI OH)
NY
07/31/1993 - 11/19/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/16/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/23/1986 - 09/19/1988
PRESCOTT, BALL & TURBEN, INC.
NA
08/25/1983 - 04/25/1986
DEAN WITTER REYNOLDS INC.
IA
Issued 12/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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