SP
Shane D. Pfeffer
VOYA FINANCIAL ADVISORS
San Antonio, TX 78229
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CRD#: 2492871
SP
Professional summary
Shane Douglas Pfeffer, CFP® is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in San Antonio, Texas.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Shane has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
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.
NAME OF ENTITY:SHANE PFEFFER FARMS; Yes; 732 N LIVE OAK; NEWBRAUNFELS; TX; 78130; CATTLE SALES; OWNER; 7/1/1998; 10; 0; TAKING CARE OF CATTLE, FENCING AND OTHER RELATED ACTIVITIES|NAME OF ENTITY:Shane Pfeffer, LLC.; No; 732 N LIVE OAK AVE; NEW BRAUNFELS; TX; 78130; Residential Property Rental; Owner; 1/1/2015; 5; 0; Maintain property.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 7551 CALLAGHAN RD STE 100; SAN ANTONIO; TX; 78229; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/1/1998; 160; 160; SALES OF FIXED INSURANCE PRODUCTS.|NAME OF ENTITY:SHANE PFEFFER-NOTARY; No; 7551 Callaghan Rd 100; San Antonio; TX; 78229; Notary; Notary; 1/1/2018; .1; .1; Notarize documents|
CRS (Client Relationship Summary) - RIA
Click below to view Shane Douglas Pfeffer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shane Douglas Pfeffer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2012
Experience
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7551 Callaghan Rd Ste 100, San Antonio, TX 78229RIA
BD
CRD#: 2882
San Antonio, TX
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7551 Callaghan Rd Ste 100, San Antonio, TX 78229RIA
BD
CRD#: 2882
San Antonio, TX
Past
June 30, 2004 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
SAN ANTONIO, TX
Past
December 15, 2003 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
SAN ANTONIO, TX
Past
April 15, 2003 - November 21, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
February 24, 2003 - April 10, 2003
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
October 30, 1997 - April 10, 2003
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
May 26, 1994 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, 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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/4/2023)
RR
Colorado(5/4/2023)
RR
Florida(2/5/2024)
RR
Georgia(5/4/2023)
RR
Minnesota(6/1/2023)
RR
Missouri(7/9/2024)
RR
Montana(1/7/2025)
RR
New Mexico(6/9/2020)
RR
Ohio(7/9/2024)
RR
Oregon(5/4/2023)
RR
Texas(1/3/2011)
IAR
Texas(1/3/2011)
RR
Virginia(5/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
