Brian I. Pfeffer
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.
Brian Ira Pfeffer was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1990. Brian had worked at 3 firms and has passed the Series 63, Series 55, Series 7, Series 27, Series 28, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2002 - March 5, 2014
DIRECT ACCESS PARTNERS LLC
November 22, 2000 - September 19, 2002
BREAN MURRAY & CO., INC.
March 20, 1990 - August 15, 1990
LASKER, STONE & STERN
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
Series 55
Date: 5/13/2005
Limited Representative-Equity Trader ExamSeries 28
Date: 2/23/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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