David W. Canepa

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CRD#: 4183796

Professional summary

Being a previously registered professional could mean that this person 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.

David William Canepa was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2000. David had worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

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

Past

April 4, 2011 - June 5, 2014

WINDSOR CAPITAL MANAGEMENT, LLC

RIA

CRD#: 116593

PHOENIX, AZ

Past

March 20, 2008 - March 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

March 19, 2008 - March 31, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

December 20, 2005 - March 11, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SUN CITY WEST, AZ

Past

September 27, 2005 - March 11, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SUN CITY WEST, AZ

Past

May 10, 2000 - November 23, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 12/19/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/9/2000

General Securities Representative 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

David W. Canepa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

WINDSOR CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2005

Series 63

Date: 6/15/2000

Series 7

Date: 5/9/2000

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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