John R. 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.
John Richard Pepe, who also goes by John R Pepe II, John R Pepe, John Richard Pepe Ii, John Richard Pepe Jr, John Richard Pepe Jr., John Pepe Ii, John Pepe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 14, Series 9, Series 4, Series 51 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
June 1, 2011 - May 9, 2012
CHARDAN CAPITAL MARKETS LLC
June 8, 2009 - July 1, 2009
CHASE INVESTMENT SERVICES CORP.
May 15, 2007 - August 11, 2008
ASPECT SECURITIES, LLC
June 29, 2006 - September 27, 2006
BARCLAYS CAPITAL INC.
June 7, 2005 - November 16, 2005
LEK SECURITIES CORPORATION
December 17, 2004 - June 7, 2005
IDS LIFE INSURANCE COMPANY
December 17, 2004 - June 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 25, 2002 - November 15, 2004
TD AMERITRADE, INC.
November 19, 2001 - August 5, 2002
INET ATS, INC.
July 18, 2000 - June 18, 2001
ICAPITAL MARKETS LLC
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 55
Date: 1/11/2002
Limited Representative-Equity Trader ExamCurrent Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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