Marquard S. Vonpfetten
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.
Marquard Stephan Vonpfetten, who also goes by Marguard Stephan Vonpfettenarnbach, Marquard Stephan Vonpfettenarnbach, was a registered financial professional .
Marquard is a previously registered financial professional and started their career in finance in 1987. Marquard had worked at 4 firms and has passed the SIE, Series 7, Series 3, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2008 - September 26, 2019
VPE WERTPAPIERHANDELSBANK AG
February 28, 1989 - February 14, 1992
PRUDENTIAL EQUITY GROUP, LLC
May 13, 1988 - February 8, 1989
UBS FINANCIAL SERVICES INC.
December 22, 1987 - April 27, 1988
E. F. HUTTON & COMPANY INC
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
VPE WERTPAPIERHANDELSBANK AG
CRD#: 147183 / SEC#: , 8-67882
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
