John A. Pfefferkorn
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.
John Anthony Pfefferkorn was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 3 firms and has passed the Series 63, SIE, Series 7TO, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - January 5, 2023
HUB INTERNATIONAL INVESTMENT SERVICES INC.
October 1, 2020 - May 27, 2021
LPL FINANCIAL LLC
March 17, 2014 - June 23, 2016
LPL FINANCIAL LLC
August 7, 1997 - April 22, 2004
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/1/2020
General Securities Representative ExaminationCurrent Firm
HUB INTERNATIONAL INVESTMENT SERVICES INC.
CRD#: 150252 / SEC#: , 8-68237
Contact information
FINRA licenses (2 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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