AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SP

Scott Peppard

Some features on this profile are disabled
CRD#: 4319911
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.

Scott Peppard was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2002. Scott had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

October 14, 2015 - December 11, 2018

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

January 16, 2014 - November 12, 2015

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ROCKVILLE, MD
Past

June 1, 2011 - January 22, 2014

INVESTMENT PLANNERS, INC.

BD
CRD#: 18557
DECATUR, IL
Past

June 2, 2010 - June 3, 2011

MSC - BD, LLC

BD
CRD#: 142927
LAKE OSWEGO, OR
Past

July 3, 2007 - June 3, 2010

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
PRINCETON, NJ
Past

July 3, 2007 - June 3, 2010

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

May 12, 2005 - July 10, 2007

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
PRINCETON, NJ
Past

May 11, 2005 - July 10, 2007

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CONSHOHOCKEN, PA
Past

April 2, 2003 - May 12, 2005

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

April 10, 2002 - May 12, 2005

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY

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
RR
IAR
Series 66
Date: 6/25/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2001
General Securities Representative Examination

Current Firm

TC
TERRANOVA CAPITAL EQUITIES, INC
EUROPEAN AMERICAN EQUITIES, INC. | TN CAPITAL EQUITIES, LTD | TERRANOVA CAPITAL EQUITIES, INC. | TERRANOVA CAPITAL EQUITIES, INC | HORNBLOWER CAPITAL SECURITIES, INC. | GROWVEST CAPITAL SECURITIES, INC. | EUROPEAN AMERICAN EQUITIES, LTD.

CRD#: 45097 / SEC#: , 8-50973

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Phone number
(212) 381-7391
Established
Delaware since 03/18/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TERRANOVA CAPITAL PARTNERS, INC.SHAREHOLDER
CERNY, CRAIG JONATHANCHIEF EXECUTIVE OFFICER1538404
GELB, PETER RICHARDCOO/CFO2542816
GOODE, JACQUELINE MARIECCO1292607
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS OFFICER2246513
STEINMETZ, JOHN FRANCISCHAIRMAN & PRESIDENT1132822

Disclosures

Regulatory Event4

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.

Company Information

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

TRUST BUT VERIFY

Monitor Scott Peppard

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.