Jordan R. Peplinski
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.
Jordan Richard Peplinski, who also goes by Jordan Peplinski, was a registered financial professional .
Jordan is a previously registered financial professional and started their career in finance in 2013. Jordan had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2018 - October 6, 2023
FRONTIER ASSET MANAGEMENT, LLC
February 10, 2015 - August 19, 2016
CEDAR CAPITAL, LLC
October 27, 2014 - August 19, 2016
FORESIDE FUND SERVICES, LLC
April 28, 2014 - January 2, 2015
GOOD HARBOR FINANCIAL
December 9, 2013 - October 28, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 22, 2013 - November 18, 2013
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
FRONTIER ASSET MANAGEMENT, LLC
CRD#: 109910 / SEC#: 801-60047
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
FRONTIER ASSET MANAGEMENT, LLC
CRD#: 109910 / SEC#: 801-60047
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,525 |
| AUM (Assets Under Management) | $ 5,345,412,024 |
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.
