DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

LLOYD ELBERT PEGUES

Advisor at ADVISORS ASSET MANAGEMENT, INC.

PRINCETON, NJ | Rockville, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:491d64a0-b122-19d1-70eb-a53735861009

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 17, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ADVISORS ASSET MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 22, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 22, 1991
First registration: Jun 17, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 1981223

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Nov 4, 2024	n/a	yes	Rockville, MD\|PRINCETON, NJ	Current employment
GUGGENHEIM INVESTMENTS	Asset manager	Sep 12, 2005	Nov 4, 2008	no	CHICAGO, IL\|LISLE, IL	Previous registration
EDWARD JONES	National bd RIA	Mar 3, 2005	Aug 11, 2005	no	AURORA, IL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jun 17, 2003	Nov 28, 2003	no	AURORA, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GUGGENHEIM INVESTMENTS	ADVISORS ASSET MANAGEMENT, INC.	Nov 4, 2008	Nov 4, 2024	5,844	Firm change after gap	Other
EDWARD JONES	GUGGENHEIM INVESTMENTS	Aug 11, 2005	Sep 12, 2005	32	Firm change	Other
A. G. EDWARDS & SONS, INC.	EDWARD JONES	Nov 28, 2003	Mar 3, 2005	461	Firm change after gap	Other

Relationships

Registered with (4)

→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Nov 4, 2024 to presentfactForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: previous registration
Sep 12, 2005 to Nov 4, 2008factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 3, 2005 to Aug 11, 2005factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jun 17, 2003 to Nov 28, 2003factForm ADV

Dated events

No dated event names this entity yet.