Gregory M. Pfaff

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CRD#: 2443097

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.

Gregory Michael Pfaff was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1994. Gregory had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 25, 2012 - September 22, 2014

BAKERAVENUE

RIA

CRD#: 132657

SAN FRANCISCO, CA

Past

September 29, 2010 - January 27, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

September 29, 2010 - January 27, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

September 29, 2010 - January 27, 2012

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

August 4, 1998 - October 6, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

DALLAS, TX

Past

February 2, 1994 - October 6, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/8/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/16/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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Contact information

Main Address

One Embarcadero Center Ste 2530, San Francisco, CA 94111

Mailing Address

Phone number

(415) 986-1110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	3,138
AUM (Assets Under Management)	$ 3,771,014,366

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/05/2025	Cover Page	Report
08/28/2024	Cover Page	Report
04/02/2024	Cover Page	Report
03/14/2023	Cover Page	Report

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.

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Firm Stability Insights

Gregory M. Pfaff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

BAKERAVENUE

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2000

Series 63

Date: 2/14/1994

Series 7

Date: 2/1/1994

Series 8

Date: 7/16/1997

Current Firm

BAKERAVENUE

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKERAVENUE

TRUST BUT VERIFY

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