John R. Lepley
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.
John Randall Lepley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 27, Series 4 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
July 28, 2008 - January 20, 2017
BTC CAPITAL MANAGEMENT
January 12, 2000 - April 8, 2008
PRINCIPAL SECURITIES, INC.
July 20, 1988 - April 8, 2008
PRINCIPAL SECURITIES, INC.
April 20, 1983 - July 23, 1988
ALLIED GROUP SECURITIES CORPORATION
Primary Firm SEC Registration
BTC CAPITAL MANAGEMENT
CRD#: 127158 / SEC#: 801-62140
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
BTC CAPITAL MANAGEMENT
CRD#: 127158 / SEC#: 801-62140
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,262 |
| AUM (Assets Under Management) | $ 4,188,851,296 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2024 | ||
| 01/17/2024 | ||
| 12/28/2022 |
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.
