Experience

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  Federated investors

  Jan 1994 - Jan 1998

  Director of compliance
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  Bny mellon

  Jan 1998 - Oct 2007

  Chief compliance officer/compliance manager
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  Profunds group

  Nov 2007 - Oct 2011

  Fund compliance manager

  Performed compliance review of the service providers of the fund complex and supported the chief compliance officer in his 38a-1 review.

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  Sfg wealth management

  Jun 2012 - now

  Manage the compliance operations of an SEC registered investment advisory firm.Kenneth Pegher is a registered representative and securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Investment Advice offered through SFG Wealth Management, a registered investment advisor. SFG Wealth Management is a separate entity from LPL Financial.Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness.For a list of states in which we are registered to do business, please visit www.sfgwm.com. Show less Operations and compliance responsibilities for SFG Wealth Management.Kenneth Pegher is a registered representative and securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Investment Advice offered through SFG Wealth Management, a registered investment advisor. SFG Wealth Management is a separate entity from LPL Financial.Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness.For a list of states in which we are registered to do business, please visit www.sfgwm.com. Show less

  • Chief Compliance Officer

    Dec 2016 - now

  • Branch Operations Manager

    Jun 2012 - now