DP
David A. Peppenger
S.G. LONG & COMPANY
Missoula, MT 59802
Some features on this profile are disabled
CRD#: 6241527
DP
Professional summary
David Albert Peppenger, who also goes by Dave Peppenger, is a registered financial advisor currently at S.G. LONG & COMPANY located in Missoula, Montana and SGL INVESTMENT ADVISORS, INC. located in Missoula, Montana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. David has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Peppenger
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.
SGL Investment Advisor; investment related; located at 283 W. Front, St., Ste. 302, Missoula, MT 59802; Investment Advisor; Investment Advisor Representative; June 23, 2016, 40 hours per month which includes trading hours; Serves as relationship manager when referring business for a % of fees. SGLIA is a firm affiliate. Lard Butt, LLC; not investment related; 1026 1st Ave., Seattle, WA 98119; Apparel Sales and Promotional Events; Partner/Owner; approximately 1 hour per month none of which are during market hours; help organize local Lard Butt 1K events, work with vendors, non-profits, participants, and promotions. City Club Missoula; not investment related, PO Box 9071 Missoula, MT 59807; Community Information Forums; Vice Chair; 2.5 hours per month, 2.5 hours during trading hours; Organize Community Forums, attend/manage lunch forum 1 time per month, attend Forum Committee Meeting 1 time per month
CRS (Client Relationship Summary) - RIA
Click below to view David Albert Peppenger'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
January 5, 2018 - Present
S.G. LONG & COMPANY
Office #1: 283 W Front Street Suite 302, Missoula, MT 59802RIA
BD
CRD#: 47511
Missoula, MT
Current
January 14, 2021 - Present
SGL INVESTMENT ADVISORS, INC.
Office #1: 283 W. Front Street Suite 302, Missoula, MT 59802-4328RIA
CRD#: 145167
Missoula, MT
Current
June 23, 2016 - Present
S.G. LONG & COMPANY
Office #1: 283 W Front Street Suite 302, Missoula, MT 59802RIA
BD
CRD#: 47511
Missoula, MT
Past
December 4, 2013 - June 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MISSOULA, MT
Past
October 8, 2013 - June 28, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MISSOULA, MT
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".
SI
SGL INVESTMENT ADVISORS, INC.
SGL INVESTMENT ADVISORS, INC. | SGL INVESTMENT ADVISORY, INC.
CRD#: 145167 / SEC#: 801-80443
RIA
Registered Investment Advisory firm - (10/14/2014 Approved)Montana
Registered Investment Advisory firm - (7/10/2015 Terminated)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(2/3/2020)
RR
California(6/23/2016)
RR
Colorado(1/6/2023)
RR
Georgia(2/16/2022)
RR
Idaho(1/3/2017)
RR
Maine(3/22/2022)
RR
Montana(7/7/2016)
IAR
Montana(1/5/2018)
RR
North Dakota(1/2/2025)
RR
Oregon(6/23/2016)
RR
South Dakota(8/18/2023)
RR
Texas(1/6/2023)
RR
Utah(4/6/2022)
RR
Washington(6/23/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SGL INVESTMENT ADVISORS, INC.
SGL INVESTMENT ADVISORS, INC. | SGL INVESTMENT ADVISORY, INC.
CRD#: 145167 / SEC#: 801-80443
RIA
Registered Investment Advisory firm - (10/14/2014 Approved)Montana
Registered Investment Advisory firm - (7/10/2015 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
283 W. Front Street Suite 302, Missoula, MT 59802-4328
Mailing Address
Phone number
(406) 721-0999
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,236 |
| AUM (Assets Under Management) | $ 391,569,109 |
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.
