Michael J. Pfeifer
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.
Michael John Pfeifer, who also goes by Mike John Pfeifer, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2011 - August 3, 2017
FBL MARKETING SERVICES, LLC
January 3, 2011 - June 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 4, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 19, 2006 - February 29, 2008
CETERA INVESTMENT SERVICES LLC
May 20, 2003 - February 29, 2008
CETERA INVESTMENT SERVICES LLC
March 4, 2002 - January 22, 2003
ALLSTATE FINANCIAL SERVICES, LLC
February 8, 2001 - March 5, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
May 10, 2000 - June 8, 2000
CETERA INVESTMENT SERVICES LLC
June 19, 1998 - July 29, 1998
SPECTRUM CAPITAL, LLC
November 7, 1996 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
February 21, 1995 - October 1, 1996
TD AMERITRADE CLEARING, INC.
July 20, 1993 - September 28, 1994
LASALLE ST SECURITIES, L.L.C.
September 25, 1991 - December 8, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 25, 1991 - December 8, 1992
PRUCO SECURITIES, LLC.
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
FBL MARKETING SERVICES, LLC
CRD#: 5309 / SEC#: , 8-15855
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FBL FINANCIAL GROUP, INC | OWNER | |
| ALDRIDGE, ANTHONY JAMES | CHIEF ACCOUNTING OFFICER | 5999478 |
| GLEASON, MATHEW EVERETTE | PRESIDENT | 6434929 |
| MAY, CLINT JAMES | VICE PRESIDENT ASSISTANT GENERAL COUNSEL | 4129595 |
| MCGONEGLE, JULIE MARIE | FINANCIAL SERVICES ADMINISTRATION VICE PRESIDENT | 2188891 |
| MORGAN, JENNIFER LEA | CHIEF COMPLIANCE OFFICER & ASST. SECRETARY | 2550729 |
| NELSON, JAMES ARTHUR | MANAGER LIFE ACCOUNTING AND FINOP | 4640561 |
| O'TOOL, MICHAEL DEAN | DIRECTOR COMPLIANCE | 2570040 |
| SEIBEL, DONALD JOSEPH | TREASURER | 6140054 |
| SHRYACK, CHRISTOPHER THOMAS | VICE PRESIDENT LIFE SALES | 2105590 |
| ST CLAIR, KARI LOUISE | DIRECTOR, MARKETING SVCS & FIELD SUPPORT | 3168561 |
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.
