Joseph PeggsCRD Number: 1219721
Current Firm: Ameriprise Financial Services, Inc.
Joseph Peggs (CRD# 1219721) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Seminole, FL and has over 19 years of experience in the finance industry.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Ameriprise Financial Services Inc.||Seminole, FL||Nov 2015 - Current||1|
|Bencor||Seminole, FL||Jun 2013 - Current||3|
|Retirement Planning Association (rpa)||Seminole, FL||Jun 2013 - Current||3|
|Marquesa Condo Association||Treasure Island, FL||Jul 2005 - Current||11|
|J L Peggs Financial & Associates||Seminole, FL||Oct 2002 - Current||14|
|U S Employees Benefits Service Group, LLC||Seminole, FL||Jan 2015 - Nov 2015||< 1|
|Planmember Securities Corporation||Carpinteria, CA||Dec 2013 - Nov 2015||1|
|Axa Advisors, Llc,||New York, NY||Jul 2009 - Dec 2013||4|
|Woodbury Financial Services||Clearwater, FL||Aug 2003 - Jul 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1997|
|S66||NASAA Uniform Combined State Law Examination||Oct 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
- Regulatory Event
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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