Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Florida-based Ameriprise Financial Services broker/adviser Michael Pepe has received a new pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pepe (CRD# 1172861).
Michael Pepe has spent 3 years in the securities industry and has been registered with Ameriprise Financial Services in Tampa, Florida since 2015. Previous registrations include JHS Capital Advisors in Tampa, Florida (2010-2015); Gunnallen Financial in Tampa, Florida (2007-2010); UBS Financial Services in Tampa, Florida (1994-2007); Smith Barney in New York, New York (1990-1994); and JB Hanauer & Company in Parsippany, New Jersey (1983-1990). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 1, 1984; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is a registered broker and investment adviser with ten US states and territories: Arizona, Colorado, Florida, Georgia, Kentucky, New York, North Carolina, Oregon, South Carolina, and Washington.
According to his BrokerCheck report, he has received three customer complaints, one pending customer complaint, and two customer complaints that were closed or denied.