Kristie Jo PeppyCRD Number: 3009499
Current Firm: Ubs Financial Services Inc.
Kristie Jo Peppy (CRD# 3009499) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Jamestown, NY and has over 23 years of experience in the finance industry.
Lpl Financial LLC
Hbks Wealth Advisors
Private Advisor Group, LLC
|Ubs Financial Services Inc.||Jamestown, NY||Feb 2020 - Current||1|
|Aj Peppy & Sj Peppy Dds, Pc||Jamestown, NY||Sep 1998 - Current||23|
|Park Avenue Securities||Jamestown, NY||May 2019 - Feb 2020||< 1|
|Guardian Life Insurance Company||Jamestown, NY||Feb 2019 - Feb 2020||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1998|
|S65||NASAA Investment Advisors Law Examination||Aug 1998|
|S66||NASAA Uniform Combined State Law Examination||Nov 2019|
Total Assets Under Management572,471MILLIONS
Total Number of Accounts1,003,533ACCOUNTS
Average Account Value$570,455
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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