Donald J. Pepin
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.
Donald James Pepin, who also goes by Donald James Pepin Jr, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1992. Donald had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
November 11, 2011 - October 8, 2020
CARILLON FUND DISTRIBUTORS, INC.
December 7, 2007 - December 5, 2008
DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION
October 3, 2001 - November 8, 2002
NATIONWIDE SECURITIES, LLC
May 10, 2001 - July 26, 2005
NATIONWIDE FUND DISTRIBUTORS LLC
November 10, 1999 - October 1, 2001
NATIONWIDE SECURITIES, LLC
August 14, 1998 - December 31, 1998
OLD MUTUAL INVESTMENT PARTNERS
November 24, 1992 - July 17, 1998
SEI INVESTMENTS DISTRIBUTION CO.
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
Series 7TO
Date: 3/3/2024
General Securities Representative ExaminationCurrent Firm
CARILLON FUND DISTRIBUTORS, INC.
CRD#: 139749 / SEC#: , 8-67244
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EAGLE ASSET MANAGEMENT INC | PARENT COMPANY | 110653 |
| EDWARDS, CHARLES MICHAEL | DIRECTOR | 5342028 |
| GEORGIEV, TSVETELINA ELKOVA | CCO | 5130225 |
| GERVAIS, BRYAN L | CFO, PRINCIPAL FINANCIAL OFFICER / FINOP, DIRECTOR | 5286391 |
| LILLIAN, JORDAN ALEXANDER | CEO, PRESIDENT, DIRECTOR | 5444726 |
| SOUSA, DAMIAN DANIEL | DIRECTOR | 2061882 |
| WALZER, SUSAN LAVELLE | DIRECTOR | 2976646 |
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.
