Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keri? Claim Your ProfileKeri Irene Pugh is an active investment advisor representative with LPL Financial LLC. Keri has been working in the financial services industry since March 27, 1999. Before joining LPL Financial LLC, Keri was previously registered with National Planning Corporation, AIG Financial Advisors, Inc., SunAmerica Securities, Inc., Jackson National Life Distributors, Inc., and OppenheimerFunds Distributor, Inc. Keri is licensed in several states and holds several FINRA licenses and Series exams. Keri is also active in several other business ventures.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
11/29/2017 - Present
LPL Financial LLC (LITTLETON CO)
CO
12/08/2008 - 11/29/2017
NATIONAL PLANNING CORPORATION (GREENWOOD VILLAGE CO)
CO
10/31/2005 - 11/26/2008
AIG FINANCIAL ADVISORS, INC. (LITTLETON CO)
AZ
01/14/2004 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
TN
03/14/2001 - 01/13/2004
JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (FRANKLIN TN)
NY
01/06/1999 - 01/02/2001
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
BOTH
Issued 11/14/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/26/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/26/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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