John P. Pfaffmann

RUBICON FINANCIAL NETWORK

Tempe, AZ 85284

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CRD#: 2060427

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.

Question & Answer

What are your service offerings?

Insurance Planning

Investment Planning

Comprehensive Financial Planni...

Tax Planning

Retirement Planning

Employee and Employer Plan Ben...

Estate Planning

Are you a "fiduciary"?

Yes

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.

1. John Pfaffmann is dually-registered as an Investment Advisor Representative with Pfaffmann Financial Inc dba Rubicon Financial Network (Since 02/1996), Petra Financial Advisors Inc (01/2023). 90% of Mr. Pfaffman's time is devoted to activities as an Investment Advisor Representative with Petra Financial Advisors Inc and the remainder as an IAR of Pfaffmann Financial Inc dba Rubicon Financial Network. Pfaffmann Financial Inc dba Rubicon Financial Network and Petra Financial Advisors Inc are not affiliated.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Peter Pfaffmann's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

June 24, 2003 - Present

RUBICON FINANCIAL NETWORK

Office #1: 2181 E. Warner Road Suite 101, Tempe, AZ 85284

RIA

CRD#: 113980

Tempe, AZ

Current

April 18, 2023 - Present

PETRA FINANCIAL ADVISORS INC

Office #1: 2181 E. Warner Rd Suite 101, Tempe, AZ 85284

RIA

CRD#: 107196

Tempe, AZ

Past

April 27, 2012 - July 5, 2017

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

TEMPE, AZ

Past

June 23, 2006 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

TEMPE, AZ

Past

June 28, 2000 - July 5, 2017

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

TEMPE, AZ

Past

January 2, 1998 - July 17, 2000

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

May 3, 1993 - January 20, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 3, 1993 - January 20, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

July 12, 1990 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

July 12, 1990 - May 4, 1993

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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".

PETRA FINANCIAL ADVISORS INC

LIGHTHOUSE FINANCIAL, LLC | PETRA FINANCIAL ADVISORS INC

CRD#: 107196 / SEC#: 801-39169

RIA

Registered Investment Advisory firm - (6/27/1991 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(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

State Security Law Exam

IAR

Series 65

Date: 2/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/1/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/17/1999

General Securities Principal Examination

Current Firm

PETRA FINANCIAL ADVISORS INC

LIGHTHOUSE FINANCIAL, LLC | PETRA FINANCIAL ADVISORS INC

CRD#: 107196 / SEC#: 801-39169

RIA

Registered Investment Advisory firm - (6/27/1991 Approved)

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Contact information

Main Address

2 North Nevada Ave Suite 1300, Colorado Springs, CO 80903-1626

Mailing Address

Phone number

(719) 636-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A/B (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,183
AUM (Assets Under Management)	$ 387,778,985

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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John P. Pfaffmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Peter Pfaffmann's CRS (Customer Relationship Summary).

Certified licenses

Experience

PETRA FINANCIAL ADVISORS INC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

COMMONWEALTH FINANCIAL NETWORK

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

HOME LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

PETRA FINANCIAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/1998

Series 63

Date: 7/10/1990

SIE

Date: 7/5/2017

Series 7

Date: 5/13/1997

Series 6

Date: 7/10/1990

Series 51

Date: 3/1/2003

Series 24

Date: 9/17/1999

Current Firm

PETRA FINANCIAL ADVISORS INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PETRA FINANCIAL ADVISORS INC

TRUST BUT VERIFY

Contact information

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