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Darrell Mason Pepple

CRD# 1576901·Registered 1986 - 2012
Previously Registered: Being a previously registered professional could mean that Darrell is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Darrell Mason Pepple was a registered financial advisor. Darrell was a previously registered financial professional and started their career in finance 1986 - 2012. Darrell had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 27, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

WOLF CAPITAL LLC·CRD# 114384
RIA
Oakbrook Terrace, IL
March 15, 2007 - February 15, 2012
WOLF CAPITAL LLC·CRD# 114384
BD
Oakbrook Terrace, IL
March 15, 2007 - February 15, 2012
WOLF FINANCIAL MANAGEMENT, LLC·CRD# 44225
RIA
Oakbrook Terrace, IL
November 29, 1999 - December 31, 2013
WOLF FINANCIAL MANAGEMENT, LLC·CRD# 44225
BD
Oakbrook Terrace, IL
September 13, 1999 - December 31, 2013
WINTHROP FINANCIAL ADVISORY SERVICES INC.·CRD# 123551
RIA
Hoffman Estates, IL
January 3, 1998 - November 21, 2005
AMERICAN INVESTMENT SERVICES, INC.·CRD# 21111
BD
Oklahoma City, OK
September 26, 1995 - January 15, 1996
TARPON SCURRY INVESTMENTS, INC.·CRD# 34635
BD
New York, NY
December 9, 1993 - October 29, 1999
LASALLE ST SECURITIES, L.L.C.·CRD# 7191
BD
Elmhurst, IL
November 2, 1990 - December 31, 1993
DICKINSON & CO.·CRD# 689
BD
Des Moines, IA
January 23, 1990 - December 13, 1990
WINTRUST INVESTMENTS LLC·CRD# 875
BD
Chicago, IL
July 9, 1987 - February 17, 1990
NORTHERN TRUST SECURITIES, INC.·CRD# 7927
BD
October 24, 1986 - April 13, 1987

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Current Firm

WC
WOLF CAPITAL LLC

WOLF CAPITAL LLC

CRD#: 114384 / SEC#: 8-53424
BD
Terminated by SEC on 04/15/2012

Contact Information

Established

Illinois since 08/31/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WOLF FINANCIAL GROUP HOLDINGS, LLCSOLE MEMBER—
LUTZ, STEVEN FRANKLINPRINCIPAL2823182
MASICK, KENNETH EDWARDFINOP2823684
PEPPLE, DARRELL MASONCHIEF COMPLIANCE OFFICER1576901

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1986About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 1998About the Series 27 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 1993About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed May 1991About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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