SP
Steven A. Pepper
Some features on this profile are disabled
CRD#: 360012
SP
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
Are you a "fiduciary"?
No
Aliases
Steve Pepper
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.) Tucker Asset Management LLC; Investment Related; Littleton, CO; RIA; Investment Adviser Representative; Start date 08/2022; Approximately XX hours/month with XX hours/month devoted during securities trading hours 2.ROUND2IT FINANCIAL, LLC. POSITION: Insurance Agent/Managing Member. NATURE: Fixed insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 90 START DATE: 08/01/1994 ADDRESS: 4659 East Capri Avenue, Mesa AZ 85206, United States DESCRIPTION: Fixed annuities, life, disability, LTC, health and employee benefits. 3) MORGAN MULLIGANS BNI. POSITION: Member/Past VP. NATURE: Referral Group. INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 02/11/2016 ADDRESS: Western Skies Golf, 1245 E Warner Road, Gilbert AZ 85234, United States DESCRIPTION: Attend Meetings. 4) SEND OUT CARDS. POSITION: Customer. NATURE: Greeting Cards. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2009 ADDRESS: 4659 East Capri Avenue, Mesa AZ 85206, United States DESCRIPTION: Multilevel Marketing. 5) MELALEUCA. POSITION: Customer. NATURE: Health Vitamins. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/07/2009 ADDRESS: 4659 EAST CAPRI AVE, Mesa AZ 85206, United States DESCRIPTION: Order vitamins, direct shopper. 6) LAMININE. POSITION: Customer. NATURE: Provide Amino Acids for health. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2010 ADDRESS: 4659 EAST CAPRI AVE, Mesa AZ 85206, United States DESCRIPTION: Customer, multilevel marketing. 7) TAX PREPARATION POSITION: Preparer NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/15/2019 ADDRESS: 4659 E Capri Ave, Mesa AZ 85206-5038, United States DESCRIPTION: Prepare Taxes
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®
NoneExperience
Past
August 22, 2022 - March 20, 2024
TUCKER ASSET MANAGEMENT LLC
RIA
CRD#: 174844
Georgetown, DE
Past
July 19, 2019 - October 21, 2021
FINANCIAL & TAX ARCHITECTS, LLC
RIA
CRD#: 119169
Georgetown, DE
Past
March 1, 2019 - May 16, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MESA, AZ
Past
March 1, 2019 - May 16, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MESA, AZ
Past
May 17, 2013 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MESA, AZ
Past
May 10, 2013 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MESA, AZ
Past
January 4, 2001 - June 5, 2013
SII INVESTMENTS, INC.
RIA
CRD#: 2225
MESA, AZ
Past
January 4, 2001 - June 5, 2013
SII INVESTMENTS, INC.
BD
CRD#: 2225
MESA, AZ
Past
February 18, 1998 - January 9, 2001
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
July 30, 1993 - February 19, 1998
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
October 2, 1990 - August 10, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 15, 1989 - September 18, 1990
NALICO EQUITY CORPORATION
BD
CRD#: 15530
GIESSEN,
Past
August 5, 1988 - January 10, 1990
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
January 1, 1988 - September 1, 1988
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
Past
October 29, 1984 - September 2, 1988
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
Past
August 3, 1972 - November 7, 1984
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
Past
August 3, 1972 - November 7, 1984
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/27/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
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.
