Lloyd Elbert Pegues

Current Employers

Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2024-11-04

MD RA
APPROVED

Since 2024-11-04

Branch Locations

Rockville, MD • United States

300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Advisors Asset Management, Inc	Monument	CO	06/2009	Present

06/2009 → Present

Advisors Asset Management, Inc

Monument, CO

Previous Registrations

2005-09-12 → 2008-11-04

Guggenheim Investments

Chicago, IL

Lisle, IL
2005-03-03 → 2005-08-11

Edward Jones

Aurora, IL
2003-06-17 → 2003-11-28

A. G. Edwards & Sons, Inc.

Aurora, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-08
S63	Uniform Securities Agent State Law Examination	1991-11-22

S65 Uniform Investment Adviser Law Examination

2001-05-08
S63 Uniform Securities Agent State Law Examination

1991-11-22