Vivian 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.
Vivian Pepper, who also goes by Rennie Pepper, VIvian Reynolds Pepper, was a registered financial professional .
Vivian is a previously registered financial professional and started their career in finance in 2004. Vivian had worked at 5 firms and has passed the Series 66, SIE, Series 7 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
July 28, 2017 - June 20, 2019
QUEST CAPITAL STRATEGIES, INC.
July 28, 2017 - June 20, 2019
QUEST CAPITAL STRATEGIES, INC.
June 3, 2009 - August 28, 2015
BNY MELLON SECURITIES CORPORATION
October 28, 2008 - December 31, 2008
BNY MELLON SECURITIES CORPORATION
May 8, 2007 - August 28, 2015
BNY MELLON SECURITIES CORPORATION
October 31, 2006 - May 7, 2007
DEUTSCHE BANK SECURITIES INC.
August 12, 2004 - November 3, 2006
J.P. MORGAN SECURITIES LLC
February 6, 2004 - July 22, 2004
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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