CP
Cindy A. Pepple
WILLIAM BLAIR
BOWIE, MD
Some features on this profile are disabled
CRD#: 3140301
CP
Professional summary
Cindy Ann Pepple, who also goes by Cindy A Hause, Cindy Pepple, is a registered financial advisor currently at WILLIAM BLAIR located in Bowie, Maryland.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Cindy has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy A Hause | Cindy Pepple
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.
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Ann Pepple's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cindy Ann Pepple's 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®
NoneExperience
Current
September 13, 2021 - Present
WILLIAM BLAIR
Office #2: 100 International Drive Suite 19000, Baltimore, MD 21202RIA
BD
CRD#: 1252
BOWIE, MD
Current
September 10, 2021 - Present
WILLIAM BLAIR
Office #1: 100 International Drive Suite 19000, Baltimore, MD 21202RIA
BD
CRD#: 1252
Baltimore, MD
Past
December 3, 2002 - October 10, 2003
BROWN ADVISORY SECURITIES, LLC
RIA
CRD#: 120827
BALTIMORE, MD
Past
December 3, 2002 - September 13, 2021
BROWN ADVISORY SECURITIES, LLC
RIA
CRD#: 120736
CHEVY CHASE, MD
Past
November 18, 2002 - September 13, 2021
BROWN ADVISORY SECURITIES, LLC
BD
CRD#: 120736
CHEVY CHASE, MD
Past
January 13, 2001 - November 26, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
August 11, 2000 - November 26, 2002
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
WASHINGTON, DC
Past
November 4, 1998 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
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".
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/3/2021)
RR
California(9/10/2021)
RR
Colorado(9/10/2021)
RR
Connecticut(9/10/2021)
RR
Delaware(1/3/2022)
RR
District of Columbia(9/10/2021)
RR
Florida(9/10/2021)
RR
Georgia(10/13/2021)
RR
Illinois(9/10/2021)
RR
Indiana(2/3/2022)
RR
Louisiana(7/18/2022)
RR
Maine(10/25/2021)
RR
Maryland(9/10/2021)
IAR
Maryland(9/13/2021)
RR
Massachusetts(9/10/2021)
RR
Michigan(12/16/2021)
RR
Mississippi(9/10/2021)
RR
New Hampshire(12/9/2021)
RR
New Jersey(9/10/2021)
RR
New Mexico(3/1/2022)
RR
New York(9/10/2021)
RR
North Carolina(10/8/2021)
RR
Ohio(9/10/2021)
RR
Oregon(11/3/2021)
RR
Pennsylvania(9/10/2021)
RR
Rhode Island(1/4/2022)
RR
South Carolina(9/10/2021)
RR
Tennessee(10/13/2021)
RR
Texas(9/10/2021)
RR
Vermont(8/21/2023)
RR
Virginia(9/10/2021)
RR
Washington(11/1/2022)
RR
West Virginia(4/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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.
