Karl C. Pfeiffer
Professional summary
Karl Curtis Pfeiffer is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karl Curtis Pfeiffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2023 - Present
MARKETAXESS CORPORATION
Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001June 16, 2009 - June 27, 2012
WEEDEN & CO.L.P.
March 18, 2009 - December 16, 2025
PRAGMA LLC
August 10, 2004 - March 27, 2009
BANC OF AMERICA SECURITIES LLC
May 31, 2002 - June 4, 2004
INSTITUTIONAL DIRECT INC.
August 1, 2000 - June 3, 2002
INSTINET, LLC
June 5, 1995 - August 1, 2000
REUTERS C CORPORATION
October 14, 1993 - March 24, 1995
FIDELITY BROKERAGE SERVICES 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
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/4/2009
Limited Representative-Equity Trader ExamFINRA
Current Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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