Peter Gaughan has been an investment adviser representative at RPS Advisory Solutions since May 2022, and is not listed among the firm’s executive officers or direct owners.
RPS Advisory Solutions, LLC is a Louisville, KY firm with $467M under management, 1,212 clients and 5 advisers across 2 offices, as of its July 2026 filing.
Peter Gaughan’s longest registration was 9 years at Raymond James & Associates, Inc. (2013–2022). Before joining RPS Advisory Solutions in 2022, Peter Gaughan was registered through Raymond James & Associates, Inc. and Morgan Keegan & Company, Inc.
- – present · 4 yearsCovington, KY · Adviser representative · Firm CRD 311575
- Raymond James & Associates, Inc.– · 9 yearsCincinnati, OH · Adviser representative · Firm CRD 705
- Morgan Keegan & Company, Inc.– · 5 yearsCovington, KY · Adviser representative · Firm CRD 4161
- UBS Financial Services Inc.– · 3 yearsCincinnati, OH · Adviser representative · Firm CRD 8174
- Citigroup Global Markets Inc.– · 4 yearsCincinnati, OH · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Peter Gaughan is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in May 2022.
- KentuckySince 12 May 2022
- TexasResidentSince 25 May 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 December 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 September 1983 |
| Series 7 | General Securities Representative Examination | 20 August 1983 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Peter James Gaughan
- CRD
- 1178030
- Firm
- RPS Advisory Solutions · CRD 311575
- Office
- 105 Park Avenue, Covington, KY 41011
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Peter Gaughan work?
Peter Gaughan is an investment adviser representative registered through RPS Advisory Solutions, LLC since May 2022, and is not listed among the firm’s executive officers or direct owners.
Is Peter Gaughan a financial advisor?
Yes. Peter Gaughan has a current investment-adviser registration in Kentucky and Texas, through RPS Advisory Solutions since May 2022.
How many years of experience does Peter Gaughan have?
Peter Gaughan has 43 years in the financial industry, since September 1983, across 5 adviser firms.
What exams has Peter Gaughan passed?
Peter Gaughan has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 79TO. The earliest, the Series 7, was passed in August 1983. FINRA credited Peter Gaughan with the SIE, which began in October 2018.
Where did Peter Gaughan work before RPS Advisory Solutions?
Before RPS Advisory Solutions, Peter Gaughan was registered through Raymond James & Associates, Inc., February 2013 to April 2022; Morgan Keegan & Company, Inc., November 2007 to February 2013; UBS Financial Services Inc., November 2004 to November 2007; Citigroup Global Markets Inc., December 1999 to November 2004.
Where is Peter Gaughan based?
Peter Gaughan’s registered office is in Covington, KY.
Is Peter Gaughan registered with FINRA?
Yes. Peter Gaughan has a current broker registration, under CRD 1178030.
Source: FINRA BrokerCheck
How can I verify Peter Gaughan’s record?
Search CRD 1178030 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Peter Gaughan’s full registration record.
- Michael EllisonCEO/President
- Sonia GoforthChief Compliance Officer