RP
Randal J. Pegg
Some features on this profile are disabled
CRD#: 2625619
RP
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.
Randal Jason Pegg, who also goes by Randell Pegg, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1995. Randal had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Randell Pegg
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.
Name:Ransomed Life PO Box 591321 San Antonio, TX 78259 Title:Board Member - Operations/Logistics Director Start:Jan 2018 Time:6 hours per month Duties Summary: The primary duty of this Board of Director's role is to ensure that the operational structure of Ransomed Life's programs is developed so that the mission, vision, and programs are being accomplished most effectively. Principal Accountabilities: 1. Provides strategic oversight of the development and operational/logistical structure of Ransomed Life's programs a. Communicates with the Board regularly to apprise them of Ransomed Life's operations/logistical oversight activities b. Presents operations/logistics reports at Board meetings c. Monitors Ransomed Life's management to ensure the best possible outcomes with the most efficient use of resources 2. Works with the Executive Director to monitor the programmatic logistical structure a. Collaborates with the Board to review each of Ransomed Life's programs to identify possible operational/logistical changes and maximizations b. Develops operational/logistical improvement initiatives, as needed, to increase the range of Ransomed Life's mission and vision c. Provides assistance to the Board with any questions or concerns about Ransomed Life's operating structure. Not business securities related
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®
NoneExperience
Past
November 3, 2004 - July 14, 2022
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
January 3, 2001 - July 14, 2022
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
BOERNE, TX
Past
September 11, 1998 - December 31, 2000
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
ST. LOUIS, MO
Past
March 20, 1998 - September 24, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 19, 1997 - March 26, 1998
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 8, 1995 - May 14, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
