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DAVID ALBERT PEPPENGER
DAVE PEPPENGER
CRD#: 6241527
IA
B
SGL INVESTMENT ADVISORS, INC.CRD#: 145167 283 W. FRONT STREET SUITE 302
MISSOULA, MT 59802-4328
MISSOULA, MT 59802-4328
S.G. LONG & COMPANYCRD#: 47511 283 W FRONT STREET SUITE 302
MISSOULA, MT 59802
MISSOULA, MT 59802
0
Disclosures
11
Years of Experience
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State Registrations
B
Arizona 2/3/2020
IA
Montana 1/5/2018
B
California 6/23/2016
B
North Dakota 1/2/2025
B
Colorado 1/6/2023
B
Oregon 6/23/2016
B
Georgia 2/16/2022
B
South Dakota 8/18/2023
B
Idaho 1/3/2017
B
Texas 1/6/2023
B
Maine 3/22/2022
B
Utah 4/6/2022
B
Montana 7/7/2016
B
Washington 6/23/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/14/2021
IA
Registered with this firm since 1/5/2018
B
Registered with this firm since 6/23/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/04/2013 - 06/29/2016 | MISSOULA, MT | |
B | 10/08/2013 - 06/28/2016 | MISSOULA, MT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.