James A. Pfister

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CRD#: 1604116

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.

James Allen Pfister was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1987. James had worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

St Johns Union Cemetery Association. Non-profit/charitable. Not investment related. 2745 Morgan Hill Rd, Easton, PA 18042 A cemetery. Officer/board member-treasurer. Started 08312022. 4 hours per month. Zero hours during business hours. Zero compensation. Book-keeping-deposit checks for funeral services and purchased plots. Write checks to pay bills.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 27, 2024 - October 21, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Warrington, PA

Past

June 20, 2024 - October 21, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Warrington, PA

Past

September 29, 2003 - March 22, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

EASTON, PA

Past

October 26, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 26, 1987 - March 22, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

EASTON, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2024

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/26/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/2/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

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.

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Firm Stability Insights

James A. Pfister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2024

Series 65

Date: 9/26/2003

Series 63

Date: 1/9/1987

Series 7TO

Date: 2/2/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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