Rudolph V. Sepolio
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.
Rudolph Valentino Sepolio, who also goes by Rudy Sepolio Jr, was a registered financial professional .
Rudolph is a previously registered financial professional and started their career in finance in 1992. Rudolph had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2010 - November 30, 2012
GREAT NATION INVESTMENT CORPORATION
May 17, 2006 - August 6, 2010
UNITED EQUITY SECURITIES, LLC
July 12, 2005 - May 16, 2006
AURA FINANCIAL SERVICES, INC.
February 13, 2004 - June 22, 2005
UNITED SECURITIES ALLIANCE, INC.
October 5, 1992 - December 15, 2003
PFS INVESTMENTS 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
GREAT NATION INVESTMENT CORPORATION
CRD#: 19981 / SEC#: , 8-39074
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
