Eric A. Pepper
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.
Eric Anthony Pepper, who also goes by Ric Pepper, was a registered financial advisor .
Eric is a previously registered financial advisor and started their career in finance in 1987. Eric had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2014 - September 3, 2016
PEAK BROKERAGE SERVICES, LLC
January 15, 2008 - November 7, 2013
WOODSTOCK FINANCIAL GROUP, INC.
December 19, 2005 - December 31, 2007
WELLSTONE SECURITIES, LLC
August 23, 2005 - September 14, 2005
DUNWOODY BROKERAGE SERVICES, INC.
October 20, 2004 - August 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - August 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 4, 2003 - October 20, 2004
QUICK & REILLY, INC.
December 4, 2003 - October 20, 2004
QUICK & REILLY, INC.
July 15, 2003 - December 4, 2003
EQUITY SERVICES, INC.
February 25, 2000 - December 4, 2003
EQUITY SERVICES, INC.
May 22, 1998 - August 17, 1999
TRUIST INVESTMENT SERVICES, INC.
November 10, 1997 - July 30, 1998
MONY SECURITIES CORPORATION
July 1, 1996 - December 31, 1996
NEW ENGLAND SECURITIES
December 13, 1993 - June 7, 1996
MONY SECURITIES CORPORATION
October 30, 1992 - January 26, 1993
SIGNATOR INVESTORS, INC.
October 30, 1992 - March 8, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 3, 1989 - October 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 20, 1988 - January 28, 1989
H.J. MEYERS & CO., INC.
May 28, 1987 - December 24, 1987
FORESTERS FINANCIAL SERVICES, INC.
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
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
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.
