Karl Curtis Pfeiffer
Professional Summary
Karl Curtis Pfeiffer is a registered financial advisor currently at MARKETAXESS CORPORATION located in New York, New York. Karl is registered as a RR (Registered Representative) and started their career in finance in 1993. Karl has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB | PRAGMA
Contact Information
Main Address
55 Hudson Yards 15th Floor, New York, NY 10001Mailing Address
55 Hudson Yards 15th Floor, New York, NY 10001Phone Number
(212) 813-6000Established
Delaware since 09/12/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2009Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1993About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Karl Curtis Pfeiffer's CRS (Customer Relationship Summary).
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