Stephen K. Pfau
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.
Stephen Kurt Pfau was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 9 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2022 - July 19, 2024
ALPS DISTRIBUTORS, INC.
October 21, 2019 - January 31, 2022
FS INVESTMENT SOLUTIONS, LLC
October 1, 2012 - October 11, 2019
FRONTEGRA STRATEGIES, LLC
April 13, 2011 - August 10, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
February 13, 2004 - June 11, 2007
INVESCO CAPITAL MARKETS, INC.
March 17, 2000 - March 1, 2011
MORGAN STANLEY DISTRIBUTION, INC.
January 26, 1996 - March 6, 2000
VANGUARD MARKETING CORPORATION
August 9, 1994 - September 25, 1995
PRINCIPAL SECURITIES, INC.
July 15, 1993 - June 7, 1994
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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