Stephane Lepichon
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.
Stephane Lepichon, who also goes by Stephane Le Pichon, was a registered financial professional .
Stephane is a previously registered financial professional and started their career in finance in 1997. Stephane had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2018 - December 10, 2019
UNFCU ADVISORS LLC
April 30, 2018 - November 18, 2019
COPPER FINANCIAL
April 2, 2015 - May 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 30, 2015 - May 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - August 21, 2014
MORGAN STANLEY
June 1, 2009 - August 21, 2014
MORGAN STANLEY
May 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 7, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 17, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 31, 2002 - August 9, 2002
EQUITABLE ADVISORS, LLC
May 11, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 20, 1999 - August 9, 2002
EQUITABLE ADVISORS, LLC
December 5, 1997 - July 2, 1998
WALSH MANNING SECURITIES, LLC
Primary Firm SEC Registration
UNFCU ADVISORS LLC
CRD#: 136572 / SEC#: 801-67069
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 62
Date: 12/4/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
UNFCU ADVISORS LLC
CRD#: 136572 / SEC#: 801-67069
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 31,768,224 |
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.
