Steven A. Pepper
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.
Steven Alfred Pepper, who also goes by Steve Pepper, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1972. Steven had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2022 - March 20, 2024
TUCKER ASSET MANAGEMENT LLC
July 19, 2019 - October 21, 2021
FINANCIAL & TAX ARCHITECTS, LLC
March 1, 2019 - May 16, 2019
WOODBURY FINANCIAL SERVICES, INC.
March 1, 2019 - May 16, 2019
WOODBURY FINANCIAL SERVICES, INC.
May 17, 2013 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
May 10, 2013 - March 1, 2019
QUESTAR CAPITAL CORPORATION
January 4, 2001 - June 5, 2013
SII INVESTMENTS, INC.
January 4, 2001 - June 5, 2013
SII INVESTMENTS, INC.
February 18, 1998 - January 9, 2001
SUNAMERICA SECURITIES, INC.
July 30, 1993 - February 19, 1998
SECURITIES AMERICA, INC.
October 2, 1990 - August 10, 1993
MORGAN STANLEY DW INC.
December 15, 1989 - September 18, 1990
NALICO EQUITY CORPORATION
August 5, 1988 - January 10, 1990
NYLIFE SECURITIES LLC
January 1, 1988 - September 1, 1988
1717 CAPITAL MANAGEMENT COMPANY
October 29, 1984 - September 2, 1988
SUNSET FINANCIAL SERVICES, INC.
August 3, 1972 - November 7, 1984
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 3, 1972 - November 7, 1984
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844 / SEC#: 801-107110
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 1
Date: 7/27/1972
Registered Representative ExaminationCurrent Firm
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844 / SEC#: 801-107110
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
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.
