Ethan Pepper

ORCHARD CITY WEALTH MANAGEMENT

Los Gatos, CA 95032

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CRD#: 4499498

Professional summary

Ethan Pepper, CFP® is a registered financial advisor currently at ORCHARD CITY WEALTH MANAGEMENT, LLC located in Los Gatos, California.

Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Ethan has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Biography

Member and Past President of the Financial Planning Association of Silicon Valley.

Question & Answer

What are your service offerings?

Insurance Planning

Tax Planning

Budgeting

Investment Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Retirement Planning

Education Planning

Estate Planning

Do you have an area of expertise or specialization?

AUM

Fixed Fee (Subscription, Retai...

Generation X

High Net Worth Client Needs

Investment Advice with Ongoing...

Tax Planning

What is your minimum asset requirement?

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 Ethan Pepper'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

February 16, 2018 - Present

ORCHARD CITY WEALTH MANAGEMENT, LLC

Office #1: 987 University Avenue Suite 8, Los Gatos, CA 95032

RIA

CRD#: 292274

Los Gatos, CA

Past

November 17, 2015 - November 1, 2017

WEALTH ARCHITECTS, LLC

RIA

CRD#: 135373

MOUNTAIN VIEW, CA

Past

January 3, 2007 - November 4, 2015

WADE FINANCIAL ADVISORY, INC.

RIA

CRD#: 108627

CAMPBELL, CA

Past

November 3, 2005 - November 8, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

PALO ALTO, CA

Past

July 8, 2005 - November 8, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

PALO ALTO, CA

Past

May 5, 2003 - July 6, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

May 3, 2002 - April 28, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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
(2/16/2018)

IAR

Texas
(3/1/2018)

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: 11/2/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/11/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/2/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ORCHARD CITY WEALTH MANAGEMENT, LLC

CRD#: 292274 / SEC#:

California

Registered Investment Advisory firm - (2/16/2018 Approved)

Texas

Registered Investment Advisory firm - (2/27/2018 Conditional Restricted)

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Contact information

Main Address

987 University Avenue Suite 8, Los Gatos, CA 95032

Mailing Address

Phone number

(669) 237-3006

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	217
AUM (Assets Under Management)	$ 87,194,007

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.

Contact information

(xxx) xxx-xxxx

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FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

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Advisor Monitoring

Firm Stability Insights

Ethan Pepper

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Pepper's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH ARCHITECTS, LLC

WADE FINANCIAL ADVISORY, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WAMU INVESTMENTS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2005

Series 63

Date: 5/23/2002

Series 7

Date: 11/11/2003

Series 6

Date: 5/2/2002

Current Firm

ORCHARD CITY WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ORCHARD CITY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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