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JP

John A. Pfleger

PRIVATE PLACEMENT INSURANCE PRODUCTS
Fargo, ND 58104
Some features on this profile are disabled
CRD#: 1094488
JP

Professional summary

John Andrew Pfleger is a registered financial professional currently at PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC located in Fargo, North Dakota.

John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view John Andrew Pfleger's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 16, 2006 - Present

PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC

Office #1: 2754 Brandt Drive South Suite 200, Fargo, ND 58104
BD
CRD#: 140139
Fargo, ND
Past

October 18, 2005 - February 24, 2006

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

May 5, 2004 - February 9, 2005

TBG FINANCIAL

BD
CRD#: 26984
LOS ANGELES, CA
Past

August 4, 2000 - April 27, 2004

BENEFIT FINANCE SECURITIES, LLC

BD
CRD#: 45113
SCOTTSDALE, AZ
Past

October 1, 1999 - June 16, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 19, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

July 29, 1997 - July 15, 1999

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

June 10, 1985 - March 3, 1988

FLORIDA SECURITIES CORPORATION

BD
CRD#: 10544
Past

February 3, 1983 - February 27, 1984

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(8/29/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/28/1997
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/21/1983
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/1984
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PP
PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC
PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC

CRD#: 140139 / SEC#: , 8-67284

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2754 Brandt Drive South Suite 200, Fargo, ND 58104
Mailing Address
2754 Brandt Drive South Suite 200, Fargo, ND 58104
Phone number
(701) 235-1183
Established
Delaware since 03/14/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SCHOEN, MATTHEW BERNARDMANAGING MEMBER/CO-CCO/AMLCO1279191
FOLEY, TRADYN SHANEREGISTERED PRINCIPAL/CO-CCO5141326
THORNTON, STEVEN LEEFINOP4496384

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.

Company Information

PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC

CRD#: 140139Fargo, ND 58104

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