Rebecca Epley
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.
Rebecca Epley, who also goes by Rebecca Anne Epley, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2007. Rebecca had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 53, Series 4 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
August 16, 2021 - November 11, 2022
TRADIER BROKERAGE, INC.
November 14, 2017 - May 3, 2018
MML INVESTORS SERVICES, LLC
June 5, 2012 - December 22, 2016
LPL FINANCIAL LLC
June 5, 2012 - December 22, 2016
LPL FINANCIAL LLC
January 19, 2010 - May 25, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 19, 2010 - May 25, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 28, 2009 - January 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2009 - January 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 5, 2007 - July 10, 2008
E*TRADE SECURITIES 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
Current Firm
TRADIER BROKERAGE, INC.
CRD#: 104982 / SEC#: , 8-52972
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
