Joseph Peggs, financial advisor Seminole FL
38 score

Joseph Peggs

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Joseph L. Peggs
Phone Number: 612-671-3131
Registered State(s):
  • FL
  • IN
By the Numbers
  • Total Assets Under Management
    178,060
    MILLIONS
  • Total Number of Accounts
    1,085,445
    ACCOUNTS
  • Average Account Value
    $164,044
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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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BADGES
38

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