Derek Anthony Pesta

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

Current Employers

Cwm, Llc

14600 Branch St., Omaha, NE 68154 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-07-14
CA	RA	APPROVED	2016-01-08

TX RA
APPROVED

Since 2016-07-14
CA RA
APPROVED

Since 2016-01-08

Branch Locations

14600 Branch St., Omaha, NE 68154 • United States

20370 Town Center Lane Suite 254, Cupertino, CA 95014 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Pesta & Pesta Tax Preparation	Cupertino	CA	05/2015	01/2023
Cwm, Llc	San Jose	CA	01/2016	Present
Pesta & Pesta Wealth Management	Cupertina	CA	01/2016	Present

05/2015 → 01/2023

Pesta & Pesta Tax Preparation

Cupertino, CA
01/2016 → Present

Cwm, Llc

San Jose, CA
01/2016 → Present

Pesta & Pesta Wealth Management

Cupertina, CA

Previous Registrations

2015-08-20 → 2016-03-04

Lpl Financial Llc

San Jose, CA

Other Businesses

NAME OF BUSINESS: Cupertino Rotary NATURE: Rotary START: 5/3/2023 POSITION: Member APPX. HRS/MONTH: 4 % APPX HRS/MONTH DURING TRADING HOURS: 4 DUTIES: Attend meetings and volunteer with projects NAME OF BUSINESS: PPWM, LLC NATURE: Payroll & taxes START: 05/24/2024 POSITION: Manager APPX. HRS/MONTH: 160 % APPX HRS/MONTH DURING TRADING HOURS: 100 DUTIES: Running and growing the business

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-08-19

S66 Uniform Combined State Law Examination

2015-08-19

Designations

Certified Financial Planner

View on SEC IAPD