Peggy G. Drees
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.
Peggy Gail Drees, who also goes by Peggy Gail Seger, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 2001. Peggy had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 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
June 22, 2011 - May 3, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 15, 2011 - August 15, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2009 - December 2, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 13, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2003 - December 2, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 12, 2002 - January 13, 2003
WORLD GROUP SECURITIES, INC.
October 2, 2001 - April 12, 2002
WMA SECURITIES, INC.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
