Kenneth W. Pegher

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CRD#: 1184269

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth William Pegher JR, who also goes by Kenneth William Jr Pegher, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1989. Kenneth had worked at 19 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth William Jr Pegher

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 2/19/2020 - SFG Wealth Management - DBA: SFG Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/01/2020 - 40 Hours Per Month During Securities Trading. 2. 2/24/2020 - SFG Wealth Management LLC - DBA: (Hybrid) SFG Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 03/01/2020 - 160 Hours Per Month During Securities Trading. 3. 2/24/2020 - SFG Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 03/01/2020 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through SFG Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 03/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 6, 2017 - May 1, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

TOWSON, MD

Past

December 16, 2016 - September 4, 2025

SFG WEALTH MANAGEMENT

RIA

CRD#: 285785

TOWSON, MD

Past

August 14, 2012 - April 5, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

TOWSON, MD

Past

June 4, 2012 - September 18, 2025

LPL FINANCIAL LLC

CRD#: 6413

TOWSON, MD

Past

January 29, 2008 - October 13, 2011

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

October 24, 2005 - December 31, 2006

MELLON FUNDS DISTRIBUTOR, L.P.

CRD#: 39414

PITTSBURGH, PA

Past

October 11, 2005 - December 31, 2005

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

September 29, 1998 - December 5, 2007

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

Past

October 11, 1995 - September 30, 1998

EDGEWOOD SERVICES, INC.

CRD#: 35970

PITTSBURGH, PA

Past

February 2, 1995 - September 29, 1998

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

February 2, 1995 - September 29, 1998

SOUTHPOINTE DISTRIBUTION SERVICES INC.

CRD#: 25320

PITTSBURGH, PA

Past

June 23, 1994 - August 18, 1994

FIRST EASTERN BROKERAGE SERVICES, INC.

CRD#: 16966

Past

January 28, 1994 - January 4, 1995

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

February 17, 1993 - January 4, 1995

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

May 1, 1992 - October 15, 1992

AMERICAN EXPRESS SERVICE CORPORATION

CRD#: 10518

MINNEAPOLIS, MN

Past

May 31, 1991 - October 15, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 31, 1991 - October 15, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 29, 1990 - March 7, 1991

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 23, 1990 - November 1, 1990

PARKER/HUNTER INCORPORATED

CRD#: 7324

PITTSBURGH, PA

Past

July 3, 1989 - April 30, 1990

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

March 21, 1989 - July 3, 1989

RICHARDS, LYNCH & PEGHER, INC.

CRD#: 8230

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/13/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/11/1994

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/27/1994

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/13/1993

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/23/1992

General Securities Principal Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
AUDETTE, MATTHEW JON	PRESIDENT AND CHIEF FINANCIAL OFFICER	4003349
ENYEDI, MATTHEW KLAUS	MANAGING DIRECTOR, NATIONAL SALES	4194266
GATES, GREGORY	MANAGING DIRECTOR, CHIEF INFORMATION OFFICER	7069201
JAMBUSARIA, ANERI	MANAGING DIRECTOR LPL SERVICES GROUP	7248335
MALFITANO, STEVEN THOMAS	SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER	3178848
MCHALE, JAMES	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	6052977
RICKETTS, JUDITH KOHOSKIE	EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER	2758924
SIMONICH, BRENT BLAIN	EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER	3254859
STEINMEIER, RICHARD C	CHIEF EXECUTIVE OFFICER AND DIRECTOR	5109512

Regulatory assets under management

Total Number of Accounts	2,369,378
AUM (Assets Under Management)	$ 618,922,975,737

Disclosures

Regulatory Event	206
Arbitration	58
Bond	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kenneth W. Pegher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SFG WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PROFUNDS DISTRIBUTORS, INC.

MELLON FUNDS DISTRIBUTOR, L.P.

MBSC, LLC

BNY MELLON CAPITAL MARKETS, LLC

EDGEWOOD SERVICES, INC.

FEDERATED SECURITIES CORP.

SOUTHPOINTE DISTRIBUTION SERVICES INC.

FIRST EASTERN BROKERAGE SERVICES, INC.

PNC BROKERAGE CORP

PNC CAPITAL MARKETS LLC

AMERICAN EXPRESS SERVICE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

ROBERT THOMAS SECURITIES, INC

PARKER/HUNTER INCORPORATED

JANNEY MONTGOMERY SCOTT LLC

RICHARDS, LYNCH & PEGHER, INC.

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2012

Series 63

Date: 3/28/1989

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1989

Series 4

Date: 10/11/1994

Series 53

Date: 6/27/1994

Series 27

Date: 9/13/1993

Series 24

Date: 11/23/1992

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

Contact information

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