Gary D. Pepple
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.
Gary Dean Pepple was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 12 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2002 - December 5, 2005
FINANCIAL AMERICA SECURITIES, INC.
December 14, 1987 - April 24, 2002
A. G. EDWARDS & SONS, INC.
September 25, 1984 - November 23, 1987
KEYBANC CAPITAL MARKETS INC.
September 19, 1983 - August 28, 1984
PRESCOTT, BALL & TURBEN, INC.
September 26, 1978 - September 28, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 7, 1974 - December 15, 1974
COMSTOCK INVESTMENTS, INC.
December 6, 1973 - March 15, 1974
BUTCHER & SINGER INC.
October 16, 1973 - January 21, 1974
THE FIRST COLUMBUS CORPORATION
August 29, 1973 - November 9, 1973
MERICKA & CO., INC.
August 25, 1971 - August 20, 1973
KLEE & COMPANY, INC.
April 11, 1970 - October 27, 1971
IMA MANAGEMENT INC
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: 5/6/1968
Registered Representative ExaminationSeries 00
Date: 10/2/1971
General Securities Principal ExaminationCurrent Firm
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 1 |
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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