Michael D. Pepe
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.
Michael Daniel Pepe, who also goes by Mike Pepe, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2003 - September 29, 2009
RIVER FINANCIAL GROUP
May 15, 2003 - April 20, 2017
VALMARK ADVISERS, INC.
May 1, 2003 - April 20, 2017
VALMARK SECURITIES, INC.
March 18, 1999 - May 30, 2003
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
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.
