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3432 Stony Spring Circle, Louisville, KY 40220 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-05-26 |
| KY | RA | APPROVED | 2022-05-23 |
Branch Locations
3432 Stony Spring Circle, Louisville, KY 40220 • United States
105 Park Avenue, Covington, KY 41011 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James | Cincinnati | OH | 11/2017 | 04/2022 |
| Retirement Planning Solutions, Llc | Louisville | KY | 05/2022 | Present |
| Na | Cincinnati | OH | 03/2013 | 10/2017 |
| Silver Oak Securities | Louisville | KY | 05/2022 | Present |
1) Retirement Planning Solution; Investment-Related; 3432 Stony Spring Circle Louisville, KY 40220; LLC; Investment Adviser Representative; Start Date: 5/19/2022; 160 hours devoted monthly; 140 hours devoted monthly during trading hours; Fee Based Compensation, Investment Management and Retirement Planning 2) Peter J, Gaughan LLC; Non-Investment Related; One Roebling Way, Suite 704, Covington, KY, 41011; LLC; Owner/President; Start Date: 11/16/2023; 5 hours devoted monthly; 0 hours devoted during trading hours; To help manage the administration, budget and day to day business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1983-09-06 |
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