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NIALL ROBERT LEPPER
CRD#: 5319535
IA
Investment Adviser
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Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 8500 ANDREW CARNEGIE BLVD.
CHARLOTTE REGIONAL
CHARLOTTE, NC 28262
Registration History
20082010201220142016201820202022202420262 FIRMS2012 - 2013 (1 year)2 FIRMS2013 - Present (11 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2007 - 2012 (5 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2009 - 2012 (3 years)
Disclosure(s)
View By:
6/20/2013
Customer Dispute
Denied
License(s)

State Registrations

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Arizona 8/14/2015

B
Puerto Rico 4/6/2015

B
Florida 10/9/2013

B
South Carolina 6/6/2024

B
Georgia 10/9/2013

IA
South Carolina 6/27/2024

B
North Carolina 6/6/2024

B
Virgin Islands 8/13/2015

IA
North Carolina 7/9/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
8500 ANDREW CARNEGIE BLVD. CHARLOTTE REGIONAL, CHARLOTTE, NC 28262
Fort Mill, SC
Registered with this firm since 10/10/2013

B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
8500 ANDREW CARNEGIE BLVD. CHARLOTTE REGIONAL, CHARLOTTE, NC 28262
Fort Mill, SC
Registered with this firm since 10/9/2013

Previous Registration(s)
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05/15/2012 - 09/18/2013 LPL FINANCIAL LLC (CRD#:6413) WATERVLIET, NY
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05/15/2012 - 09/18/2013 LPL FINANCIAL LLC (CRD#:6413) WATERVLIET, NY
IA
05/12/2009 - 05/15/2012 HSBC SECURITIES (USA) INC. (CRD#:19585) NYACK, NY
B
04/24/2007 - 05/15/2012 HSBC SECURITIES (USA) INC. (CRD#:19585) NYACK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.