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J Charles Kepley II
J C KEPLEY II, JOHN CHARLES KEPLEY II
CRD#: 2013411
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 FRANKLIN RD SE
ROANOKE, VA 24011
ROANOKE, VA 24011
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Disclosures
35
Years of Experience
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State Registrations
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Arizona 3/8/2023
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New Jersey 7/23/2012
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Arkansas 1/6/2020
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New Mexico 5/6/2021
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California 10/23/2009
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New York 1/6/2020
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Colorado 9/15/2023
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North Carolina 10/23/2009
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Florida 10/23/2009
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Ohio 1/14/2020
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Georgia 10/23/2009
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Pennsylvania 1/6/2020
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Georgia 10/23/2009
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South Carolina 7/30/2021
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Illinois 7/7/2022
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Tennessee 10/23/2009
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Kentucky 10/13/2020
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Texas 4/28/2012
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Louisiana 1/31/2017
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Texas 1/6/2020
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Maryland 1/5/2015
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Virginia 10/23/2009
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Massachusetts 2/27/2024
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Virginia 10/23/2009
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Michigan 10/23/2009
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Washington 2/12/2021
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Missouri 10/6/2023
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West Virginia 12/12/2018
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New Hampshire 5/17/2013
SRO Registrations
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/07/1998 - 10/23/2009 | ROANOKE, VA | |
B | 01/01/1998 - 10/23/2009 | ROANOKE, VA | |
B | 06/07/1993 - 01/01/1998 | ||
B | 04/07/1992 - 06/07/1993 | BOSTON, MA | |
B | 01/01/1992 - 04/06/1992 | NEW YORK, NY | |
B | 07/22/1991 - 01/01/1992 | ||
B | 12/19/1989 - 07/23/1991 | CHARLOTTE, NC |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.