Peter Gaughan
Peter Gaughan is a registered investment advisor at Silver Oak Securities, INC., based in Louisville, KY, with 42 years of industry experience. Peter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 8,671 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Silver Oak Securities offers investment management through its Compass and AdvisorFX programs. The advisor fee is negotiable, with a maximum of 2% of assets. In addition to the advisor fee, there is a platform fee that includes a flat $45 per year and an asset-based fee between 0.08% and 0.15% for Compass accounts, and 0.20% for AdvisorFX accounts. Fees are billed quarterly or monthly, either in arrears or in advance. The platform fee covers access to account data, performance reporting, and other services.
Location
3432 Stony Spring Circle, Louisville, KY, 40220
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
October 2007Customer Dispute
March 2001Other Business Activities
Peter is an Investment Adviser Representative at Retirement Planning Solution LLC, spending nearly full-time on investment management and retirement planning. He also owns Peter J, Gaughan LLC, dedicating minimal time to managing its administration and business.
Employment History
Current Registrations
Silver Oak Securities, IncorporatedBroker
Retirement Planning Solutions, LLC
Previous Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Morgan Keegan & Company, INC.
Morgan Keegan & Company, INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Prescott, Ball & Turben, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.