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DB

Donald R. Bessler

WINDWARD CAPITAL MANAGEMENT CO
LOS ANGELES, CA 90025
Some features on this profile are disabled
CRD#: 2339382
DB

Professional summary

Donald Robert Bessler, who also goes by Donald Bessler, is a registered financial advisor currently at WINDWARD CAPITAL MANAGEMENT CO located in Los Angeles, California and S.L. REED & COMPANY located in Los Angeles, California.

Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Donald has worked at 4 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Donald Bessler

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Robert Bessler's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 23, 2004 - Present

WINDWARD CAPITAL MANAGEMENT CO

Office #1: 11111 Santa Monica Blvd Suite 1200, Los Angeles, CA 90025
RIA
CRD#: 106908
LOS ANGELES, CA
Current

January 27, 2006 - Present

S.L. REED & COMPANY

Office #1: 11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346Office #2: 11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346
BD
CRD#: 40744
Los Angeles, CA
Past

January 2, 2004 - April 13, 2004

FIRST AMERICAN TRUST

RIA
CRD#: 108923
SANTA ANA, CA
Past

August 15, 2002 - January 2, 2004

FIRST AMERICAN CAPITAL MANAGEMENT, INC.

RIA
CRD#: 110312
NEWPORT BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WINDWARD CAPITAL MANAGEMENT CO
WINDWARD CAPITAL MANAGEMENT CO

CRD#: 106908 / SEC#: 801-50819

RIA
Registered Investment Advisory firm - (12/14/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(8/23/2004)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/16/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/1993
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/26/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WINDWARD CAPITAL MANAGEMENT CO
WINDWARD CAPITAL MANAGEMENT CO

CRD#: 106908 / SEC#: 801-50819

RIA
Registered Investment Advisory firm - (12/14/1995 Approved)
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Contact information

Main Address
11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025
Mailing Address
Phone number
(310) 893-3000
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-B DATED 060523 (8/18/2025)

Regulatory assets under management

Total Number of Accounts207
AUM (Assets Under Management)$ 1,326,123,739

Red Flags

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.

Company Information

WINDWARD CAPITAL MANAGEMENT CO

CRD#: 106908Los Angeles, CA 90025

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