Daniel Edgar Pepler
Professional Summary
Daniel Edgar Pepler, who also goes by Daniel E Pepler, is a registered financial advisor currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2011. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel E Pepler
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
Years of Experience
15 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
Current Firm
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC
Contact Information
Main Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494Mailing Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494Phone Number
(978) 885-0873Established
Delaware since 01/01/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | — |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| MACINNIS, DAVID BRUCE | CHIEF COMPLIANCE OFFICER | 3184368 |
| MACINNIS, DAVID BRUCE | SECRETARY | 3184368 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
State Registrations and Notice Filings
(8/31/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2011About the Series 6 examSRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Edgar Pepler's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
EAGLE STRATEGIES LLC
FALCON WEALTH PLANNING, LLC
PFS INVESTMENTS INC.
