Michael J. Pepin

CX INSTITUTIONAL

River Falls, WI 54022

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CRD#: 5415838

Professional summary

Michael Joseph Pepin, who also goes by Michael Joseph Sandlie-pepin, is a registered financial advisor currently at CX INSTITUTIONAL, LLC located in River Falls, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Joseph Sandlie-Pepin

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.

***COMMUNITY EDUCATION POSITION: volunteer teacher NATURE: Adult community education instructor INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 111 W Walnut St., River Falls WI 54022 DESCRIPTION: I volunteer to teach adults about financial related topics. Classes are typically held in area public schools. ***OUR NEIGHBORS' PLACE POSITION: Board Member NATURE: Volunteer board member for a non-profit that provides food, shelter, clothing and housing assistance to the community. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 122 W Johnson St, River Falls WI 54022, United States DESCRIPTION: Help set vision and goals of the organization. Analyze data surrounding homelessness and hunger in the community. Determine priorities for the employees and volunteers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Pepin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 22, 2023 - Present

CX INSTITUTIONAL, LLC

Office #1: 111 W Walnut St, River Falls, WI 54022

RIA

CRD#: 292627

River Falls, WI

Past

October 25, 2016 - February 21, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

RIVER FALLS, WI

Past

October 25, 2016 - February 21, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

RIVER FALLS, WI

Past

July 2, 2012 - November 17, 2016

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

HASTINGS, MN

Past

August 8, 2011 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

HASTINGS, MN

Past

August 8, 2011 - November 8, 2016

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

HASTINGS, MN

Past

November 21, 2007 - August 10, 2011

EDWARD JONES

RIA

CRD#: 250

PRESCOTT, WI

Past

October 26, 2007 - August 10, 2011

EDWARD JONES

CRD#: 250

PRESCOTT, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(2/22/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/8/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2007

General Securities Representative Examination

Current Firm

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

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Contact information

Main Address

200 East 7th Street, Auburn, IN 46706

Mailing Address

Phone number

(260) 927-1830

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (10/14/2025)

ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	14,284
AUM (Assets Under Management)	$ 4,121,239,331

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Pepin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Pepin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CX INSTITUTIONAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2007

Current Firm

CX INSTITUTIONAL, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CX INSTITUTIONAL, LLC

TRUST BUT VERIFY

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