John E. Pflieger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Ely Pflieger, who also goes by John Ely Pfleiger Jr, John Ely Pflieger Jr, John Pflieger, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2013 - October 23, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 23, 2007 - June 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2000 - June 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2000 - November 21, 2000
CREDIT SUISSE SECURITIES (USA) LLC
August 25, 1998 - October 10, 2000
PERSHING LLC
April 29, 1997 - September 18, 1998
LEHMAN BROTHERS INC.
June 30, 1988 - April 4, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1986 - July 27, 1988
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1984 - August 18, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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