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JP

James M. Pepio

Some features on this profile are disabled
CRD#: 2707455
JP

Professional summary

James Michael Pepio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, James had worked at 10 firms, which includes MILESTONE GROUP MANAGEMENT LLC, BERRY-SHINO SECURITIES INC., JOSEPH STEVENS & CO. INC., SALOMON GREY FINANCIAL CORPORATION, SHARPE CAPITAL INC., WHITEHALL WELLINGTON INVESTMENTS INC., GKN SECURITIES CORP., PRESTON LANGLEY ASSET MANAGEMENT INC., LADENBURG CAPITAL MANAGEMENT INC., SEABOARD SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Experience

Past

November 5, 2001 - May 7, 2002

MILESTONE GROUP MANAGEMENT LLC

BD
CRD#: 44486
LAKE SUCCESS, NY
Past

May 21, 2001 - November 8, 2001

BERRY-SHINO SECURITIES, INC.

BD
CRD#: 38098
SCOTTSDALE, AZ
Past

January 8, 2001 - June 27, 2001

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

November 7, 2000 - December 19, 2000

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

October 26, 1999 - November 6, 2000

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

June 22, 1998 - November 16, 1999

WHITEHALL WELLINGTON INVESTMENTS, INC.

BD
CRD#: 38022
PORT WASHINGTON, NY
Past

April 24, 1997 - June 25, 1998

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

September 10, 1996 - April 16, 1997

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD
CRD#: 35733
NEW YORK, NY
Past

July 2, 1996 - July 24, 1996

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

May 29, 1996 - September 20, 1996

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

March 12, 1996 - May 30, 1996

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1996
General Securities Representative Examination

Current Firm

MG
MILESTONE GROUP MANAGEMENT LLC
MILESTONE GROUP MANAGEMENT LLC

CRD#: 44486 / SEC#: , 8-50707

BD
Terminated by SEC on 07/18/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MILESTONE HOLDINGS, LLCMEMBER
MITCHELL, VINCENT MICHAELMEMBER2218939
CASELLA, PAUL JUDECHIEF COMPLIANCE OFFICER2461957
CASELLA, PAUL JUDEMANAGER2461957
EHRENSTEIN, PAUL SAMUELSROP, CROP76229
EHRENSTEIN, PAUL SAMUELFIN OP76229

Disclosures

Regulatory Event2
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MILESTONE GROUP MANAGEMENT LLC

CRD#: 44486

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