John Peter Pfaffmann
CFP®Professional Summary
John Peter Pfaffmann, CFP® is a registered financial advisor currently at RUBICON FINANCIAL NETWORK located in Tempe, Arizona and PETRA FINANCIAL ADVISORS INC located in Tempe, Arizona. John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Insurance Planning
- Investment Planning
- Comprehensive Financial Planning
- Tax Planning
- Retirement Planning
- Employee and Employer Plan Benefits
- Estate Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
36 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LIGHTHOUSE FINANCIAL, LLC | PETRA FINANCIAL ADVISORS INC
Contact Information
Main Address
2 North Nevada Ave Suite 1300, Colorado Springs, CO 80903-1626Phone Number
(719) 636-9000# of Employees
15SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,171AUM (Assets Under Management)
$447,237,190Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LIGHTHOUSE FINANCIAL, LLC | PETRA FINANCIAL ADVISORS INC
State Registrations and Notice Filings
(6/24/2003)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view John Peter Pfaffmann's CRS (Customer Relationship Summary).
Services Offered by John
- Insurance Planning
- Investment Planning
- Comprehensive Financial Planning
- Tax Planning
- Retirement Planning
- Employee and Employer Plan Benefits
- Estate Planning
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