WP
William J. Pepe
QUINT INVESTMENTS AND INSURANCE
Wappingers Falls, NY 12590
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CRD#: 6412215
WP
Professional summary
William J Pepe is a registered financial advisor currently at QUINT INVESTMENTS AND INSURANCE located in Wappingers Falls, New York.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. William has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Insurance Broker: Property and Casualty at Pepe Insurance, 2568 Foute 55 Poughquag NY 12570, start 8/2016, approx 120 hrs mo, 5 trading hrs......... Data Analysis Course Teacher at Capella University online, start 8/4/2016, approx 10 hrs mo, 0 trading hrs............ Works as a life insurance agent for our insurance agency Asset & Capital Planning Services, Inc.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 14, 2021 - Present
QUINT INVESTMENTS AND INSURANCE
Office #1: 210 New Hackensack Road, Wappingers Falls, NY 12590RIA
CRD#: 168463
Wappingers Falls, NY
Past
August 15, 2016 - December 31, 2017
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
POUGHQUAG, NY
Past
July 16, 2015 - December 31, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
POUGHQUAG, NY
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".
QI
QUINT INVESTMENTS AND INSURANCE
HUDSON VALLEY WEALTH MANAGEMENT GROUP | QUINT WEALTH MANAGEMENT, INC. | QUINT INVESTMENTS AND INSURANCE
CRD#: 168463 / SEC#: 801-118831
RIA
Registered Investment Advisory firm - (6/1/2020 Approved)Connecticut
Registered Investment Advisory firm - (2/17/2021 Terminated)New York
Registered Investment Advisory firm - (6/3/2020 Terminated)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
New York(9/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
QI
QUINT INVESTMENTS AND INSURANCE
HUDSON VALLEY WEALTH MANAGEMENT GROUP | QUINT WEALTH MANAGEMENT, INC. | QUINT INVESTMENTS AND INSURANCE
CRD#: 168463 / SEC#: 801-118831
RIA
Registered Investment Advisory firm - (6/1/2020 Approved)Connecticut
Registered Investment Advisory firm - (2/17/2021 Terminated)New York
Registered Investment Advisory firm - (6/3/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
210 New Hackensack Road, Wappingers Falls, NY 12590
Mailing Address
Phone number
(845) 345-3628
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 709 |
| AUM (Assets Under Management) | $ 88,515,065 |
Red Flags
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Company Information
QUINT INVESTMENTS AND INSURANCE
CRD#: 168463Wappingers Falls, NY 12590TRUST BUT VERIFY
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