Christopher D. Pepin

WAYPOINT STRATEGIC WEALTH LLC | Vice President, Financial Consultant

WESTPORT, CT

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CRD#: 2378681

Professional summary

Christopher Drew Pepin, who also goes by Chris Pepin, is a registered financial advisor currently at WAYPOINT STRATEGIC WEALTH LLC located in Westport, Connecticut.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Christopher has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 26 exams.

Biography

I consult with individuals and families to help them build, preserve, and transfer wealth.  You can leverage my 30 years experience with HNW clients, to create and execute a plan that makes sense for you and your family.  Most of my time is spent helping people transition into retirement.  I believe: an executed plan is paramount to work toward financial success, simplicity outperforms complexity and retirement should be leisure and carefree not spent worrying about investments.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Pepin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Licensed Insurance Agent; Not-Investment Related; Same as reported business location; Insurance Sales; Insurance Agent; 06/2025; Implementations of insurance recommendations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Drew Pepin's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Education

Florida Institute of Technology

Bachelor of Science (BS) - Business

1992

Experience

Current

October 11, 2024 - Present

WAYPOINT STRATEGIC WEALTH LLC

RIA

CRD#: 332314

WESTPORT, CT

Past

July 13, 2018 - May 31, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

May 31, 2011 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

STAMFORD, CT

Past

May 9, 2011 - May 31, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

STAMFORD, CT

Past

June 30, 2009 - June 28, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SCARSDALE, NY

Past

June 30, 2009 - June 28, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SCARSDALE, NY

Past

May 22, 2006 - May 18, 2009

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

NORWALK, CT

Past

May 22, 2006 - May 18, 2009

OSAIC INSTITUTIONS, INC.

CRD#: 35371

NORWALK, CT

Past

March 7, 2001 - May 19, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MONROE, CT

Past

October 1, 2000 - May 19, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MONROE, CT

Past

July 15, 1997 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

January 4, 1995 - July 17, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

August 6, 1993 - January 24, 1995

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/11/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/29/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/22/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 26

Date: 5/4/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WAYPOINT STRATEGIC WEALTH LLC

CRD#: 332314 / SEC#:

Connecticut

Registered Investment Advisory firm - (10/11/2024 Approved)

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Contact information

Main Address

Westport, CT

Mailing Address

Phone number

(203) 803-0462

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 14,340,856

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Christopher D. Pepin

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Drew Pepin's CRS (Customer Relationship Summary).

Certified licenses

Education

Florida Institute of Technology

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

A. G. EDWARDS & SONS, INC.

GLOBAL CAPITAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 8/23/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/5/1993

Series 10

Date: 9/29/2003

Series 9

Date: 9/22/2003

Series 26

Date: 5/4/1998

Current Firm

WAYPOINT STRATEGIC WEALTH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WAYPOINT STRATEGIC WEALTH LLC

TRUST BUT VERIFY

Contact information

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