John J. Pfeiffer
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 Jay Pfeiffer was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 15 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - December 18, 2013
MORGAN STANLEY
April 2, 2013 - December 18, 2013
MORGAN STANLEY
July 13, 2005 - January 18, 2006
SOLEIL SECURITIES CORPORATION
May 2, 2005 - May 18, 2005
FULCRUM GLOBAL PARTNERS LLC
November 10, 2004 - May 2, 2005
TRADITION SECURITIES AND DERIVATIVES LLC
June 10, 2004 - November 5, 2004
NEXT GENERATION EQUITY RESEARCH LLC
April 13, 2004 - May 26, 2004
KWS ASSOCIATES, INC.
February 8, 2001 - October 23, 2001
GLEACHER & COMPANY SECURITIES, INC.
January 1, 1998 - November 29, 2000
UBS FINANCIAL SERVICES INC.
October 3, 1997 - December 2, 1997
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 25, 1993 - April 9, 1997
WESSELS, ARNOLD & HENDERSON, L.L.C.
June 25, 1990 - August 26, 1993
PIPER SANDLER & CO.
March 23, 1990 - August 23, 1990
OPPENHEIMER & CO. INC.
July 21, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
November 21, 1986 - August 7, 1989
FIRST MIDWEST CAPITAL CORP.
March 20, 1986 - December 4, 1986
B.C. CHRISTOPHER SECURITIES CO.
November 19, 1985 - May 19, 1986
PERSHING LLC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
