Joseph L. Peggs
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.
Joseph Lawrence Peggs, who also goes by Larry Peggs, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 10 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2015 - April 11, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
November 6, 2015 - April 11, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2014 - November 9, 2015
PLANMEMBER SECURITIES CORPORATION
December 6, 2013 - November 9, 2015
PLANMEMBER SECURITIES CORPORATION
September 1, 2009 - December 11, 2013
EQUITABLE ADVISORS, LLC
July 27, 2009 - December 11, 2013
EQUITABLE ADVISORS, LLC
January 5, 2007 - August 7, 2009
WOODBURY FINANCIAL SERVICES, INC.
August 18, 2003 - August 7, 2009
WOODBURY FINANCIAL SERVICES, INC.
January 31, 2003 - February 19, 2003
OSAIC FS, INC.
July 20, 2001 - November 1, 2002
KESTRA INVESTMENT SERVICES, LLC
April 21, 1998 - July 23, 2001
FFP SECURITIES, INC.
April 12, 1989 - April 24, 1998
WOODBURY FINANCIAL SERVICES, INC.
December 5, 1986 - March 31, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 16, 1986 - October 20, 1986
SECURITY SERVICE CORPORATION
June 21, 1985 - March 24, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
September 14, 1984 - June 3, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
May 23, 1984 - October 5, 1984
OSAIC FA, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
