Lori A. Pegg
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.
Lori A. Pegg, who also goes by Lori Anne Heimbach, Lori Anne Helmbach, Lori Anne Pegg, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1989. Lori had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - October 17, 2024
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 17, 2024
J.P. MORGAN SECURITIES LLC
March 23, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 23, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 1, 2006 - April 25, 2008
FIFTH THIRD SECURITIES, INC.
May 24, 1999 - April 25, 2008
FIFTH THIRD SECURITIES, INC.
October 31, 1996 - March 21, 1999
AMERICAN GENERAL DISTRIBUTORS, INC.
June 28, 1995 - December 4, 1995
TOUCHSTONE SECURITIES, INC.
October 12, 1992 - June 30, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
December 6, 1991 - October 27, 1992
TOUCHSTONE SECURITIES, INC.
February 26, 1991 - June 24, 1991
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 29, 1990 - October 8, 1990
CNL, INC.
December 4, 1989 - March 15, 1990
USF&G INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
