Michael Jay Pepe

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-05-20
FL	RA	APPROVED	2017-02-10

TX RA
APPROVED_RES

Since 2019-05-20
FL RA
APPROVED

Since 2017-02-10

Branch Locations

4030 W Boy Scout Blvd Ste 300, Tampa, FL 33607-5713 • United States

Tampa, FL • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Tampa	FL	08/2015	03/2020
Ameriprise Financial Services, Llc	Tampa	FL	03/2020	Present

08/2015 → 03/2020

Ameriprise Financial Services, Inc.

Tampa, FL
03/2020 → Present

Ameriprise Financial Services, Llc

Tampa, FL

Previous Registrations

2007-02-27 → 2010-03-26

Gunnallen Financial, Inc

Tampa, FL
1994-09-16 → 2007-03-20

Ubs Financial Services Inc.

Tampa, FL

Tampa, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-12-29
S63	Uniform Securities Agent State Law Examination	1984-06-01

S65 Uniform Investment Adviser Law Examination

2016-12-29
S63 Uniform Securities Agent State Law Examination

1984-06-01

Other Names

Michael J Pepe

View on SEC IAPD