Timothy J. Pheifer
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.
Timothy John Pheifer, who also goes by Tim Phiefer, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 53, Series 10, Series 4 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2013 - December 28, 2015
WOODSTOCK FINANCIAL GROUP, INC.
September 20, 2013 - December 28, 2015
WOODSTOCK FINANCIAL GROUP, INC.
July 8, 2008 - November 5, 2013
LPL FINANCIAL LLC
July 1, 2008 - November 5, 2013
LPL FINANCIAL LLC
February 10, 2005 - January 29, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 5, 2005 - January 29, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 10, 2004 - November 9, 2004
AMERIFINANCIAL
November 6, 2003 - June 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 3, 2003 - June 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 16, 1998 - February 11, 2003
MORGAN STANLEY DW INC.
January 14, 1998 - February 11, 2003
MORGAN STANLEY DW 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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
