Donald E. Peppler

WINDSOR CAPITAL MANAGEMENT

PHOENIX, AZ 85050

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CRD#: 2482674

Professional summary

Donald Edward Peppler is a registered financial advisor currently at WINDSOR CAPITAL MANAGEMENT, LLC located in Phoenix, Arizona.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Donald has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Edward Peppler'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

April 8, 2008 - Present

WINDSOR CAPITAL MANAGEMENT, LLC

Office #1: 20860 North Tatum Blvd. Suite 220, Phoenix, AZ 85050

RIA

CRD#: 116593

PHOENIX, AZ

Past

January 29, 2007 - April 15, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

OSHKOSH, WI

Past

July 5, 2001 - April 15, 2008

LPL FINANCIAL LLC

CRD#: 6413

OSHKOSH, WI

Past

October 18, 1994 - July 11, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 26, 1994 - February 17, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, 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".

WINDSOR CAPITAL MANAGEMENT, LLC

WINDSOR CAPITAL MANAGEMENT, LLC | WINDSOR FINANCIAL GROUP, LLC

CRD#: 116593 / SEC#: 801-64200

RIA

Registered Investment Advisory firm - (4/28/2005 Approved)

Arizona

Registered Investment Advisory firm - (9/26/2005 Terminated)

Colorado

Registered Investment Advisory firm - (9/27/2005 Terminated)

Idaho

Registered Investment Advisory firm - (4/29/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(7/28/2010)

IAR

Texas
(1/16/2014)

IAR

Wisconsin
(4/8/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/25/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/2001

General Securities Principal Examination

Current Firm

WINDSOR CAPITAL MANAGEMENT, LLC

WINDSOR CAPITAL MANAGEMENT, LLC | WINDSOR FINANCIAL GROUP, LLC

CRD#: 116593 / SEC#: 801-64200

RIA

Registered Investment Advisory firm - (4/28/2005 Approved)

Arizona

Registered Investment Advisory firm - (9/26/2005 Terminated)

Colorado

Registered Investment Advisory firm - (9/27/2005 Terminated)

Idaho

Registered Investment Advisory firm - (4/29/2005 Terminated)

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Contact information

Main Address

20860 North Tatum Blvd. Suite 220, Phoenix, AZ 85050

Mailing Address

Phone number

(480) 515-3514

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINDSOR CAPITAL MANAGEMENT, LLC ADV BROCHURE (2/3/2025)

Regulatory assets under management

Total Number of Accounts	1,195
AUM (Assets Under Management)	$ 664,971,197

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.

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Firm Stability Insights

Donald E. Peppler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Edward Peppler's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

A. G. EDWARDS & SONS, INC.

MONTANO SECURITIES CORPORATION

Primary Firm SEC Registration

WINDSOR CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2006

Series 63

Date: 5/20/1994

Series 7

Date: 5/25/1994

Series 24

Date: 10/5/2001

Current Firm

WINDSOR CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINDSOR CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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